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Barry Simon

Wedbush Securities INC.
42 Years of Experience
Pasadena, CA
Broker
View SEC Summary
View SEC Summary

Barry Simon is a registered investment advisor at Wedbush Securities INC., based in Pasadena, CA, with 42 years of industry experience. Barry is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, High Net Worth, Insurance Planning, Investment Management, and 1 more. Their firm serves 10,048 clients with $5.7B in assets under management.

Wedbush Securities INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
220 advisors
Number of Clients
10,048 clients
Average Client Portfolio
$566K average
Assets Under Management
$5.7B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K3.00%
$250K - $500K2.80%
$500K - $1.0M2.50%
$1.0M - $3.0M1.90%
$3.0M - $5.0M1.60%
$5M+1.60%

Fees for accounts over $5,000,000 are negotiable. Accounts are subject to minimum annual fees ranging from $250 to $1,000 depending on the program.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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View Full SEC Brochure

Location

225 S. Lake Ave Penthouse, Pasadena, CA, 91101

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Wedbush Securities INC.
October 2013 - Present · 13 yrs
Wedbush Securities INC.
July 2001 - Present · 25 yrs 3 mos
Wedbush Securities INC.Broker
July 2001 - Present · 25 yrs 3 mos
Previous Registrations
Triquest Financial, INC.Broker
June 1997 - July 2001 · 4 yrs 1 mo
Dean Witter Reynolds INC.Broker
September 1991 - June 1997 · 5 yrs 9 mos
Financial West GroupBroker
April 1991 - August 1991 · 4 mos
Financial West Investment GroupBroker
February 1990 - April 1991 · 1 yr 2 mos
Integrated Resources Equity CorporationBroker
October 1988 - August 1989 · 10 mos
Dean Witter Reynolds INC.Broker
June 1983 - October 1988 · 5 yrs 4 mos
State Registrations18 states
AZCACODCFLIDINKSMANJNMNVNYOHOKORPAUT
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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