Christopher Michael Mone
Professional Summary
Christopher Michael Mone is a registered financial advisor currently at WEDBUSH SECURITIES INC. located in Jupiter, Florida. Christopher is registered as a RR (Registered Representative) and started their career in finance in 1998. Christopher has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
Contact Information
Main Address
225 S. Lake Ave Penthouse 225 S. Lake Ave Penthouse, Pasadena, CA 91101Mailing Address
225 S. Lake Ave Penthouse Attn: Compliance, Pasadena, CA 91101Phone Number
(213) 688-8000Established
California since 07/08/1966Firm Type
CorporationFiscal Year End
JuneFirm Size
Medium# of Employees
288SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
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
10,833AUM (Assets Under Management)
$6,748,146,144Disclosures
Regulatory Event
149Civil Event
3Arbitration
60Bond
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2026 | Cover Page | Report |
| 12/19/2025 | Cover Page | Report |
| 10/28/2024 | Cover Page | Report |
| 04/26/2024 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jun 1998SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Christopher Michael Mone's CRS (Customer Relationship Summary).
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