Kenneth Gregory Hazen

BETTERMENT

NEW YORK, NY · CRD#

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CORVALLIS, OR · CRD#

THE MARSHALL FINANCIAL GROUP LLC

HUNT VALLEY, MD · CRD#

SOUND TRUST WEALTH ADVISORS, LLC

NORWALK, CT · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

9 years registered in the securities industry

Current & Past Employments

Current

WEDBUSH SECURITIES INC.Current·CRD# 877

RIA

BD

101 W. Benson Suite 500, Anchorage, AK 99503

October 10, 2017 - Present

WEDBUSH SECURITIES INC.Current·CRD# 877

RIA

BD

101 W. Benson Suite 500, Anchorage, AK 99503

March 24, 2017 - Present

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Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

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)

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

Medium

# of Employees

288

SEC 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

Part 2 Brochures

WEDBUSH SECURITIES INC. FORM ADV PART 2A (9/29/2026)

WEDBUSH SECURITIES INC. FORM ADV PART 2A APPENDIX OF FORM 1 ADV WRAP FEE (9/29/2026)

Direct owners and executive officers

Name	Position	CRD#
WEDBUSH FINANCIAL SERVICES, LLC	OWNER	—
BILLINGS, DANIEL ERIC	EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR	4568232
DEMPSEY, FRANCIS BURKE	EXECUTIVE VICE PRESIDENT	2428325
DRUCH, ANDREW WALTER	EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, 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, PRESIDENT & CEO	4905345
PASET, ROBERT EDWARD	EXECUTIVE VICE PRESIDENT	1055902
PRESTON, ERIN KATHLEEN	CHIEF COMPLIANCE OFFICER	5314250

Regulatory Assets Under Management

Total Number of Accounts

10,833

AUM (Assets Under Management)

$6,748,146,144

Disclosures

Regulatory Event

149

Civil Event

3

Arbitration

60

Bond

1

Accountant 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

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alaska
(10/10/2017)

IAR

Alaska
(10/10/2017)

RR

Utah
(10/2/2026)

RR

Washington
(4/13/2026)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

BOX Exchange LLC

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Cboe BZX Exchange, Inc.

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Cboe C2 Exchange, Inc.

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Cboe EDGA Exchange, Inc.

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Cboe EDGX Exchange, Inc.

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Cboe Exchange, Inc.

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FINRA

SRO Registrations

Investors' Exchange LLC

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MIAX Sapphire

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Miami International Securities Exchange, LLC

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NYSE American LLC

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NYSE Arca, Inc.

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NYSE Texas, Inc.

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Nasdaq GEMX, LLC

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Nasdaq ISE, LLC

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Nasdaq MRX, LLC

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Nasdaq PHLX LLC

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Nasdaq Stock Market

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Nasdaq Texas, LLC

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New York Stock Exchange

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CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Gregory Hazen's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Gregory Hazen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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