SM
Samuel A. Morse
WEDBUSH SECURITIES
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 1811788
SM
Professional summary
Samuel Alexander Morse, who also goes by Sam Morse, is a registered financial professional currently at WEDBUSH SECURITIES INC. located in Boston, Massachusetts.
Samuel is registered as a RR (Registered Representative) and started their career in finance in 1988. Samuel has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sam Morse
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) - BD
Click below to view Samuel Alexander Morse'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
March 2, 2009 - Present
WEDBUSH SECURITIES INC.
Office #1: 225 Franklin Street Floor 26, Boston, MA 02110RIA
BD
CRD#: 877
BOSTON, MA
Past
October 2, 2002 - July 8, 2009
PACIFIC GROWTH EQUITIES, LLC
BD
CRD#: 24835
BOSTON, MA
Past
May 3, 2001 - August 27, 2002
ROBERTSON STEPHENS, INC.
BD
CRD#: 41271
SAN FRANCISCO, CA
Past
August 26, 1994 - May 23, 2001
ABN AMRO SECURITIES LLC
BD
CRD#: 6540
NEW YORK, NY
Past
May 25, 1988 - July 6, 1994
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
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.
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(5/8/2025)
RR
California(7/14/2021)
RR
Colorado(7/2/2024)
RR
Connecticut(3/9/2009)
RR
District of Columbia(5/8/2025)
RR
Florida(2/4/2022)
RR
Georgia(5/8/2025)
RR
Hawaii(5/8/2025)
RR
Illinois(2/4/2022)
RR
Iowa(5/8/2025)
RR
Maryland(5/8/2025)
RR
Massachusetts(3/2/2009)
RR
Michigan(7/2/2024)
RR
Minnesota(7/9/2021)
RR
Missouri(7/9/2021)
RR
Nevada(5/8/2025)
RR
New Jersey(7/9/2021)
RR
New Mexico(5/8/2025)
RR
New York(3/9/2009)
RR
North Carolina(5/8/2025)
RR
North Dakota(5/8/2025)
RR
Ohio(7/2/2024)
RR
Oregon(5/8/2025)
RR
Pennsylvania(7/9/2021)
RR
South Carolina(5/8/2025)
RR
Tennessee(5/8/2025)
RR
Texas(4/7/2022)
RR
Virginia(5/8/2025)
RR
Washington(5/8/2025)
RR
Wisconsin(7/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 2/17/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 9/27/1995
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
WEDBUSH SECURITIES INC.
CRD#: 877Boston, MA 02110TRUST BUT VERIFY
Monitor Samuel Morse
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
