Unclaimed Profile

Roc William Willis

WEDBUSH SECURITIES INC.·LOS ANGELES, California

SIE, Series 3, Series 7, Series 8, Series 9, Series 10, Series 57TO, Series 63, Series 65, Series 99TO27 years registeredWEDBUSH SECURITIES INC.

ATTN: BUSINESS CONDUCT, LOS ANGELES, CA 90017CRD# 1110815Firm CRD# 877

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Roc William Willis · LOS ANGELES, CA

Registration

CRD #1110815 · WEDBUSH SECURITIES INC. · 27 years registered

Brand Profile

Not yet started

Career History

OPPENHEIMER & CO. INC.

Dec 2024 – present

OPPENHEIMER & CO. INC.

Nov 2024 – present

WEDBUSH SECURITIES INC.

Feb 2011 – Dec 2024

LAKE OSWEGO, OR

WELLS FARGO ADVISORS, LLC

Jan 2008 – Jan 2011

LA JOLLA, CA

A. G. EDWARDS & SONS, INC.

May 2004 – Jan 2008

LA JOLLA, CA

MORGAN STANLEY

Aug 1998 – May 2004

PALM DESERT, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 8

Series 9

Series 10

Series 57TO

Series 63

Series 65

Series 99TO

Registration record

First registered · August 24, 1998

Years registered · 27

Disclosure History

2002Customer Dispute·Settled

2001Customer Dispute·Settled

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

WEDBUSH SECURITIES INC.

CRD 877 · SEC 801-6358

AUM

$5.7B

Regulatory assets under management

Employees

950

10,099 client accounts

Services offered by WEDBUSH SECURITIES INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at WEDBUSH SECURITIES INC. →

Introduction

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Frequently Asked Questions

What services does Roc William Willis offer?

Roc William Willis specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in LOS ANGELES, California for a consultation.

What are Roc William Willis's credentials?

Roc William Willis is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Roc William Willis located?

Roc William Willis is based in LOS ANGELES, California, working with WEDBUSH SECURITIES INC.. Their office serves clients in the LOS ANGELES metropolitan area and surrounding communities.

How does Roc William Willis charge for services?

Roc William Willis's firm is compensated through percentage of aum, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is WEDBUSH SECURITIES INC.?

WEDBUSH SECURITIES INC. has approximately 950 employees and manages $5.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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