401k Plan data: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN plan

WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 401k Plan overview

Plan Name	WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN
Plan identification number	003

WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

WEDBUSH SECURITIES INC. has sponsored the creation of one or more 401k plans.

Company Name: WEDBUSH SECURITIES INC.

Employer identification number (EIN): 952495390

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Additional information about WEDBUSH SECURITIES INC.

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 2002-07-11

Company Identification Number: 0800101940

Legal Registered Office Address: PO BOX 30014

LOS ANGELES
United States of America (USA)
90030

More information about WEDBUSH SECURITIES INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2019-01-01
003 2018-01-01
003 2018-01-01 SAMANTHA KIRKMAN 2019-10-15
003 2018-01-01 SAMANTHA KIRKMAN 2019-10-15 DANIEL BILLINGS 2019-10-15
003 2017-01-01
003 2016-01-01
003 2016-01-01
003 2015-01-01
003 2014-01-01 JULIA E. MCGEE
003 2013-01-01 STELLA Y. BI
003 2012-01-01 AMY GAREFIS
003 2011-01-01 AMY GAREFIS
003 2010-01-01 AMY PESSAH
003 2009-01-01 HEATHER WILLIS

Plan Statistics for WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN

401k plan membership statisitcs for WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN

Measure Date Value
2019: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 446
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 0
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 0
Total of all active and inactive participants 2019-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 0
Number of participants with account balances 2019-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 474
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 258
Number of retired or separated participants receiving benefits 2018-01-01 94
Number of other retired or separated participants entitled to future benefits 2018-01-01 87
Total of all active and inactive participants 2018-01-01 439
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 7
Total participants 2018-01-01 446
Number of participants with account balances 2018-01-01 426
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 11
2017: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 508
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 256
Number of retired or separated participants receiving benefits 2017-01-01 111
Number of other retired or separated participants entitled to future benefits 2017-01-01 102
Total of all active and inactive participants 2017-01-01 469
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 2
Total participants 2017-01-01 471
Number of participants with account balances 2017-01-01 453
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 11
2016: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 530
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 283
Number of retired or separated participants receiving benefits 2016-01-01 114
Number of other retired or separated participants entitled to future benefits 2016-01-01 99
Total of all active and inactive participants 2016-01-01 496
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 3
Total participants 2016-01-01 499
Number of participants with account balances 2016-01-01 482
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 7
2015: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 647
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 365
Number of retired or separated participants receiving benefits 2015-01-01 33
Number of other retired or separated participants entitled to future benefits 2015-01-01 232
Total of all active and inactive participants 2015-01-01 630
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 2
Total participants 2015-01-01 632
Number of participants with account balances 2015-01-01 531
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 6
2014: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 678
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 414
Number of retired or separated participants receiving benefits 2014-01-01 16
Number of other retired or separated participants entitled to future benefits 2014-01-01 217
Total of all active and inactive participants 2014-01-01 647
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 647
Number of participants with account balances 2014-01-01 530
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 15
2013: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 643
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 435
Number of retired or separated participants receiving benefits 2013-01-01 18
Number of other retired or separated participants entitled to future benefits 2013-01-01 208
Total of all active and inactive participants 2013-01-01 661
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 662
Number of participants with account balances 2013-01-01 534
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 18
2012: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 647
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 429
Number of retired or separated participants receiving benefits 2012-01-01 14
Number of other retired or separated participants entitled to future benefits 2012-01-01 181
Total of all active and inactive participants 2012-01-01 624
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 624
Number of participants with account balances 2012-01-01 536
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 25
2011: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 616
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 413
Number of retired or separated participants receiving benefits 2011-01-01 8
Number of other retired or separated participants entitled to future benefits 2011-01-01 162
Total of all active and inactive participants 2011-01-01 583
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 5
Total participants 2011-01-01 588
Number of participants with account balances 2011-01-01 508
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 37
2010: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 620
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 453
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 153
Total of all active and inactive participants 2010-01-01 606
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 4
Total participants 2010-01-01 610
Number of participants with account balances 2010-01-01 519
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 22
2009: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 577
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 441
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 168
Total of all active and inactive participants 2009-01-01 609
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 4
Total participants 2009-01-01 613
Number of participants with account balances 2009-01-01 521
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 71

Measure	Date	Value
2019: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	446
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	0
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	0
Total of all active and inactive participants	2019-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	0
Number of participants with account balances	2019-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	474
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	258
Number of retired or separated participants receiving benefits	2018-01-01	94
Number of other retired or separated participants entitled to future benefits	2018-01-01	87
Total of all active and inactive participants	2018-01-01	439
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	7
Total participants	2018-01-01	446
Number of participants with account balances	2018-01-01	426
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	11
2017: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	508
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	256
Number of retired or separated participants receiving benefits	2017-01-01	111
Number of other retired or separated participants entitled to future benefits	2017-01-01	102
Total of all active and inactive participants	2017-01-01	469
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	2
Total participants	2017-01-01	471
Number of participants with account balances	2017-01-01	453
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	11
2016: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	530
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	283
Number of retired or separated participants receiving benefits	2016-01-01	114
Number of other retired or separated participants entitled to future benefits	2016-01-01	99
Total of all active and inactive participants	2016-01-01	496
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	3
Total participants	2016-01-01	499
Number of participants with account balances	2016-01-01	482
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	7
2015: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	647
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	365
Number of retired or separated participants receiving benefits	2015-01-01	33
Number of other retired or separated participants entitled to future benefits	2015-01-01	232
Total of all active and inactive participants	2015-01-01	630
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	2
Total participants	2015-01-01	632
Number of participants with account balances	2015-01-01	531
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	6
2014: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	678
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	414
Number of retired or separated participants receiving benefits	2014-01-01	16
Number of other retired or separated participants entitled to future benefits	2014-01-01	217
Total of all active and inactive participants	2014-01-01	647
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	647
Number of participants with account balances	2014-01-01	530
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	15
2013: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	643
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	435
Number of retired or separated participants receiving benefits	2013-01-01	18
Number of other retired or separated participants entitled to future benefits	2013-01-01	208
Total of all active and inactive participants	2013-01-01	661
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	662
Number of participants with account balances	2013-01-01	534
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	18
2012: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	647
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	429
Number of retired or separated participants receiving benefits	2012-01-01	14
Number of other retired or separated participants entitled to future benefits	2012-01-01	181
Total of all active and inactive participants	2012-01-01	624
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	624
Number of participants with account balances	2012-01-01	536
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	25
2011: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	616
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	413
Number of retired or separated participants receiving benefits	2011-01-01	8
Number of other retired or separated participants entitled to future benefits	2011-01-01	162
Total of all active and inactive participants	2011-01-01	583
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	5
Total participants	2011-01-01	588
Number of participants with account balances	2011-01-01	508
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	37
2010: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	620
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	453
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	153
Total of all active and inactive participants	2010-01-01	606
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	4
Total participants	2010-01-01	610
Number of participants with account balances	2010-01-01	519
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	22
2009: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	577
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	441
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	168
Total of all active and inactive participants	2009-01-01	609
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	4
Total participants	2009-01-01	613
Number of participants with account balances	2009-01-01	521
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	71

Financial Data on WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN

Measure	Date	Value
2019 : WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2019 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-01-31	$0
2018 : WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$2,479,250
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$10,201,199
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$10,201,199
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$5,615,189
Value of total assets at end of year	2018-12-31	$51,172,773
Value of total assets at beginning of year	2018-12-31	$58,894,722
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$0
Total interest from all sources	2018-12-31	$23,631
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$2,078,048
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$2,078,048
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Amount of non-exempt transactions with any party-in-interest	2018-12-31	$1,952,323
Contributions received from participants	2018-12-31	$2,661,993
Participant contributions at end of year	2018-12-31	$630,184
Participant contributions at beginning of year	2018-12-31	$546,615
Participant contributions at end of year	2018-12-31	$12,246
Participant contributions at beginning of year	2018-12-31	$15,426
Assets. Other investments not covered elsewhere at end of year	2018-12-31	$18,414,940
Assets. Other investments not covered elsewhere at beginning of year	2018-12-31	$20,076,566
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$303,528
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-7,721,949
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$51,172,773
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$58,894,722
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$25,700,158
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$30,589,482
Interest on participant loans	2018-12-31	$23,631
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-12-31	$5,015,539
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-12-31	$5,488,911
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-12-31	$5,488,911
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-5,237,618
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Assets. Invements in employer securities at end of year	2018-12-31	$437,171
Assets. Invements in employer securities at beginning of year	2018-12-31	$467,883
Contributions received in cash from employer	2018-12-31	$2,649,668
Employer contributions (assets) at end of year	2018-12-31	$962,535
Employer contributions (assets) at beginning of year	2018-12-31	$1,709,839
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$10,201,199
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	No
Opinion of an independent qualified public accountant for this plan	2018-12-31	Unqualified
Accountancy firm name	2018-12-31	RSM US LLP
Accountancy firm EIN	2018-12-31	420714325
2017 : WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$13,154,003
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$5,514,722
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$5,514,722
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$4,858,831
Value of total assets at end of year	2017-12-31	$58,894,722
Value of total assets at beginning of year	2017-12-31	$51,255,441
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$0
Total interest from all sources	2017-12-31	$32,551
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$1,743,167
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$1,743,167
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	Yes
Amount of non-exempt transactions with any party-in-interest	2017-12-31	$1,952,323
Contributions received from participants	2017-12-31	$2,695,730
Participant contributions at end of year	2017-12-31	$546,615
Participant contributions at beginning of year	2017-12-31	$700,280
Participant contributions at end of year	2017-12-31	$15,426
Participant contributions at beginning of year	2017-12-31	$17,916
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$20,076,566
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$16,296,716
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$718,452
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$7,639,281
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$58,894,722
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$51,255,441
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Assets. partnership/joint venture interests at end of year	2017-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2017-12-31	$2,249,308
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$30,589,482
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$26,857,264
Interest on participant loans	2017-12-31	$32,551
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$5,488,911
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$4,619,802
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$4,619,802
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$6,519,454
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Assets. Invements in employer securities at end of year	2017-12-31	$467,883
Assets. Invements in employer securities at beginning of year	2017-12-31	$514,155
Contributions received in cash from employer	2017-12-31	$1,444,649
Employer contributions (assets) at end of year	2017-12-31	$1,709,839
Employer contributions (assets) at beginning of year	2017-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$5,514,722
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	No
Opinion of an independent qualified public accountant for this plan	2017-12-31	Unqualified
Accountancy firm name	2017-12-31	RSM US LLP
Accountancy firm EIN	2017-12-31	420714325
2016 : WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$7,516,989
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$8,051,123
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$8,051,123
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$3,466,638
Value of total assets at end of year	2016-12-31	$51,367,018
Value of total assets at beginning of year	2016-12-31	$51,901,152
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$0
Total interest from all sources	2016-12-31	$55,071
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$1,196,242
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$3,262,239
Participant contributions at end of year	2016-12-31	$700,280
Participant contributions at beginning of year	2016-12-31	$782,892
Participant contributions at end of year	2016-12-31	$0
Participant contributions at beginning of year	2016-12-31	$238,859
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$16,327,100
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$15,808,978
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$204,399
Other income not declared elsewhere	2016-12-31	$1,187,864
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$-534,134
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$51,367,018
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$51,901,152
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Assets. partnership/joint venture interests at end of year	2016-12-31	$2,249,308
Assets. partnership/joint venture interests at beginning of year	2016-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$27,056,503
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$26,241,541
Interest on participant loans	2016-12-31	$37,398
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$4,468,928
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$4,243,539
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$4,243,539
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$17,673
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$2,807,416
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Assets. Invements in employer securities at end of year	2016-12-31	$2,814,207
Assets. Invements in employer securities at beginning of year	2016-12-31	$3,035,128
Contributions received in cash from employer	2016-12-31	$265,190
Employer contributions (assets) at end of year	2016-12-31	$0
Employer contributions (assets) at beginning of year	2016-12-31	$1,550,215
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$8,051,123
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	No
Opinion of an independent qualified public accountant for this plan	2016-12-31	Unqualified
Accountancy firm name	2016-12-31	GGF, LLP
Accountancy firm EIN	2016-12-31	208097596
2015 : WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$4,763,150
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$8,608,593
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$8,608,593
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$5,733,153
Value of total assets at end of year	2015-12-31	$51,901,152
Value of total assets at beginning of year	2015-12-31	$55,746,595
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$0
Total interest from all sources	2015-12-31	$37,167
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$1,384,019
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$1,384,019
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$3,287,552
Participant contributions at end of year	2015-12-31	$782,892
Participant contributions at beginning of year	2015-12-31	$786,283
Participant contributions at end of year	2015-12-31	$238,859
Participant contributions at beginning of year	2015-12-31	$287,489
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$15,808,978
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$17,237,883
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$895,386
Other income not declared elsewhere	2015-12-31	$-11,238
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-3,845,443
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$51,901,152
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$55,746,595
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$26,241,541
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$28,458,583
Interest on participant loans	2015-12-31	$34,985
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$4,243,539
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$4,342,831
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$4,342,831
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$2,182
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-2,379,951
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Assets. Invements in employer securities at end of year	2015-12-31	$3,035,128
Assets. Invements in employer securities at beginning of year	2015-12-31	$3,086,890
Contributions received in cash from employer	2015-12-31	$1,550,215
Employer contributions (assets) at end of year	2015-12-31	$1,550,215
Employer contributions (assets) at beginning of year	2015-12-31	$1,546,636
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$8,608,593
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	No
Opinion of an independent qualified public accountant for this plan	2015-12-31	Unqualified
Accountancy firm name	2015-12-31	GGF, LLP
Accountancy firm EIN	2015-12-31	208097596
2014 : WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$6,819,796
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$12,325,488
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$12,325,488
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$5,223,630
Value of total assets at end of year	2014-12-31	$55,746,595
Value of total assets at beginning of year	2014-12-31	$61,252,287
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$0
Total interest from all sources	2014-12-31	$34,232
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$2,326,687
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$2,326,687
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$3,495,580
Participant contributions at end of year	2014-12-31	$786,283
Participant contributions at beginning of year	2014-12-31	$612,532
Participant contributions at end of year	2014-12-31	$287,489
Participant contributions at beginning of year	2014-12-31	$265,340
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$17,237,883
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$18,177,253
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$181,414
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$0
Other income not declared elsewhere	2014-12-31	$240,746
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$-5,505,692
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$55,746,595
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$61,252,287
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$28,458,583
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$32,335,871
Interest on participant loans	2014-12-31	$33,443
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$4,342,831
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$5,316,325
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$5,316,325
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$789
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$-1,005,499
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Assets. Invements in employer securities at end of year	2014-12-31	$3,086,890
Assets. Invements in employer securities at beginning of year	2014-12-31	$2,948,783
Contributions received in cash from employer	2014-12-31	$1,546,636
Employer contributions (assets) at end of year	2014-12-31	$1,546,636
Employer contributions (assets) at beginning of year	2014-12-31	$1,596,183
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$12,325,488
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	No
Opinion of an independent qualified public accountant for this plan	2014-12-31	Unqualified
Accountancy firm name	2014-12-31	GGF, LLP
Accountancy firm EIN	2014-12-31	208097596
2013 : WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$15,538,368
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$5,553,817
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$5,553,817
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$5,925,722
Value of total assets at end of year	2013-12-31	$61,252,287
Value of total assets at beginning of year	2013-12-31	$51,267,736
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$0
Total interest from all sources	2013-12-31	$28,909
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$1,844,140
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$1,844,140
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$3,693,017
Participant contributions at end of year	2013-12-31	$612,532
Participant contributions at beginning of year	2013-12-31	$395,297
Participant contributions at end of year	2013-12-31	$265,340
Participant contributions at beginning of year	2013-12-31	$286,010
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$18,177,253
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$14,938,522
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$636,522
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$1,614
Other income not declared elsewhere	2013-12-31	$2,685,948
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$9,984,551
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$61,252,287
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$51,267,736
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$32,335,871
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$26,838,542
Interest on participant loans	2013-12-31	$28,815
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$5,316,325
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$4,531,168
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$4,531,168
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$94
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$5,053,649
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Assets. Invements in employer securities at end of year	2013-12-31	$2,948,783
Assets. Invements in employer securities at beginning of year	2013-12-31	$2,584,961
Contributions received in cash from employer	2013-12-31	$1,596,183
Employer contributions (assets) at end of year	2013-12-31	$1,596,183
Employer contributions (assets) at beginning of year	2013-12-31	$1,691,622
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$5,553,817
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	No
Opinion of an independent qualified public accountant for this plan	2013-12-31	Unqualified
Accountancy firm name	2013-12-31	GGF, LLP
Accountancy firm EIN	2013-12-31	208097596
2012 : WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets to this plan	2012-12-31	$1,320,750
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$10,310,970
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$3,444,888
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$3,444,888
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$5,652,676
Value of total assets at end of year	2012-12-31	$51,267,736
Value of total assets at beginning of year	2012-12-31	$43,080,904
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$0
Total interest from all sources	2012-12-31	$20,027
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$512,082
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$512,082
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$3,743,356
Participant contributions at end of year	2012-12-31	$395,297
Participant contributions at end of year	2012-12-31	$286,010
Participant contributions at beginning of year	2012-12-31	$244,810
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$14,938,522
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$13,062,688
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$217,698
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$1,614
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$1,266
Other income not declared elsewhere	2012-12-31	$1,045,061
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$6,866,082
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$51,267,736
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$43,080,904
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$26,838,542
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$22,234,464
Interest on participant loans	2012-12-31	$14,130
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$4,531,168
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$4,121,146
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$4,121,146
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$5,897
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$3,081,124
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Assets. Invements in employer securities at end of year	2012-12-31	$2,584,961
Assets. Invements in employer securities at beginning of year	2012-12-31	$1,938,805
Contributions received in cash from employer	2012-12-31	$1,691,622
Employer contributions (assets) at end of year	2012-12-31	$1,691,622
Employer contributions (assets) at beginning of year	2012-12-31	$1,477,725
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$3,444,888
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	No
Opinion of an independent qualified public accountant for this plan	2012-12-31	Unqualified
Accountancy firm name	2012-12-31	GGF, LLP
Accountancy firm EIN	2012-12-31	208097596
2011 : WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$4,082,665
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$4,400,822
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$4,400,822
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$6,739,047
Value of total assets at end of year	2011-12-31	$43,080,904
Value of total assets at beginning of year	2011-12-31	$43,399,061
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$0
Total interest from all sources	2011-12-31	$3,644
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$15,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$3,517,424
Participant contributions at end of year	2011-12-31	$244,810
Participant contributions at beginning of year	2011-12-31	$318,971
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$13,062,688
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$11,826,069
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$1,743,898
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$1,266
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$1,281
Other income not declared elsewhere	2011-12-31	$-1,348,123
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-318,157
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$43,080,904
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$43,399,061
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$22,234,464
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$23,900,911
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$4,121,146
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$4,327,680
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$4,327,680
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$3,644
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-1,311,903
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Assets. Invements in employer securities at end of year	2011-12-31	$1,938,805
Assets. Invements in employer securities at beginning of year	2011-12-31	$1,393,003
Contributions received in cash from employer	2011-12-31	$1,477,725
Employer contributions (assets) at end of year	2011-12-31	$1,477,725
Employer contributions (assets) at beginning of year	2011-12-31	$1,631,146
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$4,400,822
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	GGF, LLP
Accountancy firm EIN	2011-12-31	208097596
2010 : WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$10,233,665
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$2,116,076
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$2,116,076
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$6,196,450
Value of total assets at end of year	2010-12-31	$43,399,061
Value of total assets at beginning of year	2010-12-31	$35,281,472
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$0
Total interest from all sources	2010-12-31	$4,709
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$15,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$3,651,273
Participant contributions at end of year	2010-12-31	$318,971
Participant contributions at beginning of year	2010-12-31	$300,725
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$11,826,069
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$9,268,444
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$914,031
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$1,281
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$1,787
Other income not declared elsewhere	2010-12-31	$946,385
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$8,117,589
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$43,399,061
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$35,281,472
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$23,900,911
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$19,663,531
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$4,327,680
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$4,009,593
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$4,009,593
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$4,709
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$3,086,121
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Assets. Invements in employer securities at end of year	2010-12-31	$1,393,003
Assets. Invements in employer securities at beginning of year	2010-12-31	$744,146
Contributions received in cash from employer	2010-12-31	$1,631,146
Employer contributions (assets) at end of year	2010-12-31	$1,631,146
Employer contributions (assets) at beginning of year	2010-12-31	$1,293,246
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$2,116,076
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	GGF, LLP
Accountancy firm EIN	2010-12-31	208097596
2009 : WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN

2019: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	Yes
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	Yes
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: WEDBUSH SECURITIES INC. COMMISSIONED EMPLOYEES' PS RETIREMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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WEDBUSH SECURITIES INC [EIN = 900513022]

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Company Name:	WEDBUSH SECURITIES INC.
Employer identification number (EIN):	952495390
NAIC Classification:	523120
NAIC Description:	Securities Brokerage

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	2002-07-11
Company Identification Number:	0800101940
Legal Registered Office Address:	PO BOX 30014 LOS ANGELES United States of America (USA) 90030