Jane P. Morison
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.
Jane Pendleton Morison was a registered financial professional .
Jane is a previously registered financial professional and started their career in finance in 1979. Jane had worked at 15 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2007 - August 10, 2007
WEDBUSH SECURITIES INC.
November 5, 2001 - July 13, 2007
BROOKSTREET SECURITIES CORPORATION
September 30, 1999 - October 29, 2001
INTERFIRST CAPITAL CORPORATION
April 7, 1995 - September 30, 1999
W.J. GALLAGHER & COMPANY, INC.
December 14, 1992 - March 28, 1995
WILLIAM LAWRENCE SECURITIES, INC.
September 30, 1991 - February 2, 1993
BROKERS INVESTMENT CORPORATION
May 14, 1991 - June 4, 1991
VANGUARD CAPITAL
May 31, 1989 - January 29, 1990
FIRST AFFILIATED SECURITIES
April 4, 1988 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
September 26, 1984 - February 19, 1988
PRINCIPAL FINANCIAL SECURITIES,INC.
March 31, 1983 - October 5, 1984
NATIONAL FINANCIAL SERVICES LLC
September 1, 1982 - April 8, 1983
FIDELITY BROKERAGE SERVICES LLC
November 28, 1980 - October 30, 1981
BROWNCO, LLC
June 17, 1980 - December 6, 1980
CREDIT SUISSE SECURITIES (USA) LLC
November 26, 1979 - April 16, 1980
BURBANK & COMPANY, INC.
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
Current 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.
