Candy J. Palugi

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CRD#: 4062161

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.

Candy Johnson Palugi, who also goes by Candy C. Johnson, was a registered financial professional .

Candy is a previously registered financial professional and started their career in finance in 2000. Candy had worked at 7 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 24, Series 4, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Candy C. Johnson

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.

(1) RODAN AND FIELDS; NOT INVESTMENT RELATED; SAN FRANCISCO, CA; SKINCARE; CONSULTANT; START: 04/2017; APPROX: 2 HOURS MONTHLY, NONE DURING BUSINESS HOURS; DUTIES: SKINCARE CONSULTANT. SELL RODAN AND FIELDS PRODUCTS TO INDIVIDUALS. -- (2) 3CHOPT INVESTMENT PARTNERS, LLC; INVESTMENT RELATED; INDEPENDENT RIA, ADVISORY BUSINESS; CCO; START: 03/2022; APPROX: 15 HOURS MONTHLY, 15 HOURS MONTHLY DURING BUSINESS HOURS; DUTIES: THROUGH OYSTER CONSULTING I AM CONTRACTED AS THE CCO OF THIS SMALL RIA. I AM RESPONSIBLE FOR THE FULL COMPLIANCE PROGRAM.-- (3) OYSTER CONSULTING LLC.; NOT INVESTMENT RELATED; RICHMOND, VA; CONSULTING FIRM TO FINANCIAL INDUSTRY; SENIOR COMPLIANCE CONSULTANT; START: 12/2021; APPROX: 40 HOURS WEEKLY, 40 HOURS WEEKLY DURING BUSINESS HOURS; DUTIES: COMPLIANCE CONSULTANT TO REGISTERED BD'S AND RIA'S, ASSISTING WITH UNDERSTANDING AND OVERSEEING THEIR COMPLIANCE PROGRAMS. ACT AS COMPLIANCE SUPPORT OR MAY ACT AS CCO FOR SOME FIRMS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 19616

MEMPHIS, TN

Past

November 14, 2000 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/24/2003

General Securities Sales Supervisor - Options Module Examination

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WEDBUSH SECURITIES INC. FORM ADV PART 2A (10/13/2025)

WEDBUSH SECURITIES INC. FORM ADV PART 2A APPENDIX OF FORM 1 ADV WRAP FEE (10/13/2025)

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	Cover Page	Report
04/26/2024	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Candy J. Palugi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEDBUSH SECURITIES INC.

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

WEDBUSH SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/5/2000

Series 99TO

Date: 2/16/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/13/2000

Series 24

Date: 6/15/2023

Series 4

Date: 12/22/2008

Series 10

Date: 4/29/2003

Series 9

Date: 3/24/2003

Current Firm

WEDBUSH SECURITIES INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

WEDBUSH SECURITIES INC.

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