Ines M. Parks
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ines Moreno Parks, who also goes by Ines Moreno Buening, Emy Ines Moreno, Emy Parks, was a registered financial professional .
Ines is a previously registered financial professional and started their career in finance in 1987. Ines had 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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2011 - May 18, 2026
WEDBUSH SECURITIES INC.
August 22, 2011 - May 18, 2026
WEDBUSH SECURITIES INC.
March 4, 2009 - August 8, 2011
CROWELL, WEEDON & CO.
March 4, 2009 - August 8, 2011
CROWELL, WEEDON & CO.
April 2, 2007 - March 2, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - March 2, 2009
MORGAN STANLEY & CO. LLC
February 9, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
February 9, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
February 9, 2005 - August 18, 2006
WAMU INVESTMENTS, INC.
February 9, 2005 - August 18, 2006
WAMU INVESTMENTS, INC.
February 26, 2004 - February 7, 2005
DFC INVESTOR SERVICES
June 20, 2003 - February 7, 2005
DFC INVESTOR SERVICES
November 20, 2002 - June 30, 2003
AFS BROKERAGE, INC.
July 2, 2001 - November 20, 2002
DFC INVESTOR SERVICES
February 18, 1998 - July 2, 2001
FISERV INVESTOR SERVICES, INC.
October 17, 1996 - February 18, 1998
AEGON USA SECURITIES INC.
September 25, 1996 - October 31, 1996
INDEPENDENT FINANCIAL SECURITIES, INC.
July 15, 1996 - September 16, 1996
WELLS FARGO SECURITIES INC.
March 6, 1995 - July 15, 1996
FIRST INTERSTATE INVESTMENTS,INC.
September 18, 1992 - March 14, 1995
UBS FINANCIAL SERVICES INC.
July 20, 1989 - October 2, 1992
BANCAL INVESTMENT SERVICES, INC.
July 21, 1987 - June 1, 1988
PRINTON, KANE GOVERNMENT SECURITIES, INC.
Primary Firm SEC Registration
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
Contact information
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.
