JT
John J. Twomey
WEDBUSH SECURITIES
New York, NY 10019
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CRD#: 1846931
JT
Professional summary
John Jospeh Twomey, who also goes by John Joseph Twomey Mr., John Joseph Twomey, is a registered financial professional currently at WEDBUSH SECURITIES INC. located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1988. John has worked at 11 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John Joseph Twomey Mr. | John Joseph Twomey
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 John Jospeh Twomey'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
April 17, 2025 - Present
WEDBUSH SECURITIES INC.
Office #1: 142 West 57th Street 12th Floor, New York, NY 10019RIA
BD
CRD#: 877
New York, NY
Past
September 6, 2024 - April 15, 2025
BERENBERG CAPITAL MARKETS LLC
BD
CRD#: 156757
NEW YORK, NY
Past
April 26, 2021 - June 28, 2023
SMBC NIKKO SECURITIES AMERICA, INC.
BD
CRD#: 28602
NEW YORK, NY
Past
June 11, 2013 - January 4, 2021
MIZUHO SECURITIES USA LLC
BD
CRD#: 19647
NEW YORK, NY
Past
January 2, 2013 - June 18, 2013
BB&T SECURITIES, LLC
BD
CRD#: 142785
NEW YORK, NY
Past
December 1, 2010 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
NEW YORK, NY
Past
February 1, 2005 - September 29, 2010
MERRIMAN CAPITAL, INC.
BD
CRD#: 18296
NEW YORK, NY
Past
February 25, 2004 - January 24, 2005
MATRIX CAPITAL GROUP, INC.
BD
CRD#: 33364
NEW YORK, NY
Past
May 26, 1994 - October 3, 2003
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
April 20, 1989 - June 1, 1994
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
June 9, 1988 - March 28, 1989
CANTOR FITZGERALD SECURITIES
BD
CRD#: 19660
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
Alabama(5/8/2025)
RR
Alaska(5/8/2025)
RR
Arizona(5/8/2025)
RR
Arkansas(5/8/2025)
RR
California(4/17/2025)
RR
Colorado(4/17/2025)
RR
Connecticut(4/17/2025)
RR
Delaware(5/8/2025)
RR
District of Columbia(5/8/2025)
RR
Florida(4/17/2025)
RR
Georgia(5/8/2025)
RR
Hawaii(5/8/2025)
RR
Idaho(5/8/2025)
RR
Illinois(4/17/2025)
RR
Indiana(5/8/2025)
RR
Iowa(5/8/2025)
RR
Kansas(5/8/2025)
RR
Kentucky(5/8/2025)
RR
Louisiana(5/8/2025)
RR
Maine(5/8/2025)
RR
Maryland(4/17/2025)
RR
Massachusetts(4/17/2025)
RR
Michigan(5/8/2025)
RR
Minnesota(5/8/2025)
RR
Mississippi(5/8/2025)
RR
Missouri(5/8/2025)
RR
Montana(5/8/2025)
RR
Nebraska(5/8/2025)
RR
Nevada(5/8/2025)
RR
New Hampshire(5/8/2025)
RR
New Jersey(4/17/2025)
RR
New Mexico(5/8/2025)
RR
New York(4/17/2025)
RR
North Carolina(5/8/2025)
RR
North Dakota(5/8/2025)
RR
Ohio(4/17/2025)
RR
Oklahoma(5/8/2025)
RR
Oregon(5/8/2025)
RR
Pennsylvania(4/17/2025)
RR
Puerto Rico(5/8/2025)
RR
Rhode Island(5/8/2025)
RR
South Carolina(5/8/2025)
RR
South Dakota(5/8/2025)
RR
Tennessee(5/8/2025)
RR
Texas(4/17/2025)
RR
Utah(4/17/2025)
RR
Vermont(5/8/2025)
RR
Virginia(4/17/2025)
RR
Washington(5/8/2025)
RR
West Virginia(5/8/2025)
RR
Wisconsin(5/8/2025)
RR
Wyoming(5/8/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/2/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product 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
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
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 National, 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 MRX, 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 |
|---|---|---|
| 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.
