Emmanuel D. Agorastos
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.
Emmanuel D Agorastos, who also goes by Manny Agorastos, was a registered financial professional .
Emmanuel is a previously registered financial professional and started their career in finance in 1971. Emmanuel had worked at 10 firms and has passed the SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2020 - October 30, 2020
WEDBUSH SECURITIES INC.
July 5, 2007 - October 30, 2020
WEDBUSH SECURITIES INC.
May 5, 2006 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
September 30, 2004 - April 26, 2006
ARCHER ALEXANDER SECURITIES CORPORATION
December 20, 2003 - September 30, 2004
NATIONS FINANCIAL GROUP, INC.
December 17, 2003 - December 19, 2003
WHITEHALL-PARKER SECURITIES, INC.
January 24, 2000 - December 19, 2003
ARCHER ALEXANDER SECURITIES CORPORATION
December 4, 1995 - January 28, 2000
BIRCHTREE FINANCIAL SERVICES LLC
January 4, 1990 - December 30, 1995
WALDRON & CO., INC.
December 20, 1988 - January 9, 1990
SMITH-THOMAS INVESTMENT SERVICES, INC.
December 15, 1978 - December 27, 1982
L. F. ROTHSCHILD & CO. INCORPORATED
August 20, 1971 - January 3, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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 1
Date: 8/19/1971
Registered Representative 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 |
|---|---|---|
| 10/28/2024 | ||
| 04/26/2024 | ||
| 12/21/2022 |
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.
