IP
Ines M. Parks
WEDBUSH SECURITIES
Pasadena, CA 91101
Some features on this profile are disabled
CRD#: 1689431
IP
Professional summary
Ines Moreno Parks, who also goes by Ines Moreno Buening, Emy Ines Moreno, Emy Parks, is a registered financial advisor currently at WEDBUSH SECURITIES INC. located in Pasadena, California.
Ines is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Ines has worked at 15 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ines Moreno Buening | Emy Ines Moreno | Emy Parks
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Ines Moreno Parks's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ines Moreno Parks's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 22, 2011 - Present
WEDBUSH SECURITIES INC.
Office #1: 225 S Lake Ave Penthouse, Pasadena, CA 91101RIA
BD
CRD#: 877
Pasadena, CA
Current
August 22, 2011 - Present
WEDBUSH SECURITIES INC.
Office #1: 225 S Lake Ave Penthouse, Pasadena, CA 91101RIA
BD
CRD#: 877
Pasadena, CA
Past
March 4, 2009 - August 8, 2011
CROWELL, WEEDON & CO.
RIA
CRD#: 193
WEST COVINA, CA
Past
March 4, 2009 - August 8, 2011
CROWELL, WEEDON & CO.
BD
CRD#: 193
WEST COVINA, CA
Past
April 2, 2007 - March 2, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
ONTARIO, CA
Past
April 2, 2007 - March 2, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
ONTARIO, CA
Past
February 9, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ONTARIO, CA
Past
February 9, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
ONTARIO, CA
Past
February 9, 2005 - August 18, 2006
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
UPLAND, CA
Past
February 9, 2005 - August 18, 2006
WAMU INVESTMENTS, INC.
BD
CRD#: 599
UPLAND, CA
Past
February 26, 2004 - February 7, 2005
DFC INVESTOR SERVICES
RIA
CRD#: 18558
SAN BERNADINO, CA
Past
June 20, 2003 - February 7, 2005
DFC INVESTOR SERVICES
BD
CRD#: 18558
CHINO HILLS, CA
Past
November 20, 2002 - June 30, 2003
AFS BROKERAGE, INC.
BD
CRD#: 25924
AUSTIN, TX
Past
July 2, 2001 - November 20, 2002
DFC INVESTOR SERVICES
BD
CRD#: 18558
CHINO HILLS, CA
Past
February 18, 1998 - July 2, 2001
FISERV INVESTOR SERVICES, INC.
BD
CRD#: 34637
HOUSTON, TX
Past
October 17, 1996 - February 18, 1998
AEGON USA SECURITIES INC.
BD
CRD#: 13302
CEDAR RAPIDS, IA
Past
September 25, 1996 - October 31, 1996
INDEPENDENT FINANCIAL SECURITIES, INC.
BD
CRD#: 19924
Past
July 15, 1996 - September 16, 1996
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
March 6, 1995 - July 15, 1996
FIRST INTERSTATE INVESTMENTS,INC.
BD
CRD#: 17101
Past
September 18, 1992 - March 14, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 20, 1989 - October 2, 1992
BANCAL INVESTMENT SERVICES, INC.
BD
CRD#: 17122
Past
July 21, 1987 - June 1, 1988
PRINTON, KANE GOVERNMENT SECURITIES, INC.
BD
CRD#: 17733
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/4/2016)
RR
California(8/22/2011)
IAR
California(8/22/2011)
RR
Delaware(3/10/2021)
RR
Georgia(8/17/2023)
RR
Hawaii(1/4/2016)
RR
Idaho(1/4/2016)
RR
Kentucky(1/4/2016)
RR
Louisiana(1/4/2016)
RR
Maine(10/16/2020)
RR
Maryland(3/13/2025)
RR
Nevada(1/4/2016)
RR
Oregon(1/4/2016)
RR
Texas(1/4/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
225 S. Lake Ave Penthouse 225 S. Lake Ave Penthouse, Pasadena, CA 91101
Mailing Address
225 S. Lake Ave Penthouse Attn: Compliance, Pasadena, CA 91101
Phone number
(213) 688-8000
Established
California since 07/08/1966
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
897
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2025 | ||
| 10/28/2024 | ||
| 04/26/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
