Wedbush Securities

Wedbush Securities is a full-service investment firm established in 1955 and headquartered in Los Angeles, California. The firm provides a comprehensive range of financial services, including investment management, wealth management, asset management, and personal banking. It also engages in clearing and execution services such as brokerage and futures. In addition, Wedbush offers financing solutions through investment banking, public finance, business banking, margin lending, and private equity. Its securities services encompass equities, fixed income, cash management, and strategies for private companies. The firm serves a diverse clientele, including individuals, institutions, corporations, brokers, and automated traders, and specializes in advisory services related to mergers and acquisitions, corporate restructurings, and valuations, with a focus on sectors such as healthcare, consumer services, financial institutions, and technology.

Richard Anderson

Managing Director

Daniel Bowen

Managing Director

Benjamin Davey

Managing Director and Head, Equity Capital Markets

Scott Devitt

Managing Director, Equity Research, Internet: E-commerce and Online Travel Initiates Coverage

Chris Ellis

Vice President, Investments

Robert Fitzsimmons

Executive Vice President, Co-Head of Multi Asset Clearing and Prime Services

Ryan Flanagan

Senior Associate Analyst, Equity Research

Joel Funderburk

Senior Vice President and Southeast Market Manager

John Garrett

Supervisory Analyst

Jim Hennessy

Managing Director

Randall Hughes

Senior Vice President

Jack Hussian

Managing Director

James Kennally

Senior Vice President, Investments

Anthony Lecour

Managing Director of Retail and Consumer Investment Banking

Kelly Lisbakken

Managing Director, Healthcare Investment Banking

Sahak Manuelian

Managing Director, Equity Trading

Stephen Massocca

Managing Director

Michael McDonough

Managing Director

James Moore

Vice President of Investments

Michael Pachter JD

Managing Director, Equity Research

Diane Pejkovich

Senior Vice President and Head of Business Supervision

Nick Setyan

Managing Director, Equity Research

Prashant Shah

Managing Director, Advanced Clearing and Prime Services

Gary Wedbush

President and CEO

Edward W. Wedbush

Founder

Thomas Wyman Jr.

Managing Director

David Nierengarten Ph.D

Managing Director and Head, Healthcare Equity Research

12 past transactions

Velocity Trade

Acquisition in 2022
Velocity Trade is a brokerage firm that specializes in providing comprehensive trading services to corporate and institutional clients. The company offers a wide range of market services, including foreign exchange hedging, equity trading, settlement, and corporate finance advisory. By focusing on high-touch stock execution, Velocity Trade enables clients to navigate global exchanges with enhanced risk management and cost-saving opportunities compared to traditional trading models. With a commitment to facilitating efficient trading, Velocity Trade aims to support clients in their trading endeavors across various financial markets.

Valkyrie

Venture Round in 2022
Valkyrie Investments is a specialized alternative asset management firm.

Sarna Technologies

Seed Round in 2022
Sarna means Sarna Holdings, Inc. and its next generation trading technologies and digital trading experiences through its wholly-owned subsidiaries. Brokerage services are offered through Sarna Finance LLC, a FINRA licensed broker dealer. Software and technology services are offered through Sarna Technologies LLC.

Dianthus Therapeutics

Series A in 2022
Dianthus Therapeutics is a clinical-stage biotechnology company focused on developing innovative treatments for severe autoimmune diseases through targeted therapies. The company's lead candidate, DNTH103, is a monoclonal antibody designed to selectively inhibit a specific component of the immune system, offering potential advantages over existing complement therapies. This treatment aims to improve safety and efficacy for patients suffering from serious autoimmune and inflammatory conditions. Dianthus is committed to advancing its pipeline of next-generation complement therapeutics, supported by a team of experienced professionals in the biotech and pharmaceutical sectors. The company envisions that DNTH103 could be administered as a self-injection for certain patients, enhancing convenience and accessibility in treatment.

Shoreline Biosciences

Venture Round in 2021
Shoreline Biosciences, Inc. is a biotechnology company based in La Jolla, California, founded in 2020. The company specializes in developing cell-based immunotherapies aimed at treating seriously ill patients. Shoreline utilizes a proprietary technology platform that focuses on induced pluripotent stem cell (iPSC) differentiation and the genetic programming of the IL-15/CISH pathway. This approach enhances the metabolic fitness and persistence of engineered natural killer (NK) cells, thereby improving their anti-cancer activity. In addition to NK cells, Shoreline is also advancing the development of iPSC-derived macrophages for oncology and disease-modifying therapies. The company's innovative solutions aim to provide healthcare professionals with effective and cost-efficient treatment options for patients facing serious health challenges.

BioTheryx

Series E in 2021
BioTheryX, Inc. is a clinical-stage biopharmaceutical company based in Chappaqua, New York, focused on developing innovative therapies that restore protein homeostasis through targeted protein degradation. The company specializes in Protein Homeostatic Modulators and small molecule targeted protein degraders (TPDs), which utilize a unique mechanism involving molecular glues to regulate protein levels within the body. Their proprietary PRODEGY platform is built on a library of Cereblon binders, enabling the design of bifunctional and hybrid degraders aimed at treating various diseases, particularly cancer. BioTheryX's lead candidate, BTX-A51, is an oral small molecule and multi-kinase inhibitor targeting specific leukemic stem cells and oncogenic transcription factors. Established in 2007, BioTheryX aims to address significant unmet medical needs by leveraging its expertise in protein modulation and degradation.

Sarna Technologies

Pre Seed Round in 2021
Sarna means Sarna Holdings, Inc. and its next generation trading technologies and digital trading experiences through its wholly-owned subsidiaries. Brokerage services are offered through Sarna Finance LLC, a FINRA licensed broker dealer. Software and technology services are offered through Sarna Technologies LLC.

ETF Managers Group

Corporate Round in 2020
ETFMG is a provider of exchange-traded funds (ETFs), with a vision of developing innovative thematic ETFs that provide investors unique exposure to new markets. Today, the ETFMG fund line up provides access to a diverse collection of global themes and is comprised of 75% first to market products. We turn portfolio management strategies into successful ETFs by partnering with market segment experts to bring long-term growth opportunities to investors. ETFMG funds are proof as to the power of the ETF wrapper and that thematic products can have a place in investors’ portfolios.

Al Kluis

Acquisition in 2018
Alan Kluis is a seasoned commodity advisor and broker with nearly five decades of experience. He serves as president and managing partner of Kluis Commodities and Kluis Publishing, based in Wayzata, Minnesota. As an introducing broker with R.J. O'Brien, Kluis offers tailored recommendations, marketing strategies, and educational resources to farmers, helping them navigate the complexities of the commodity markets. He is also a prolific writer, contributing a regular column, "Your Profit," to Successful Farming magazine, and has authored two books on commodities trading. Kluis is frequently quoted in major publications and serves as a market analyst for the Linder Farm Radio News Network. His weekly newsletter, The Al Kluis Report, reaches a broad audience, with daily updates sent to 3,000 subscribers. Kluis holds a degree in Agricultural Economics from the University of Minnesota and has a deep connection to farming, as his family continues to operate a farm in southwest Minnesota.

Oncolytics Biotech

Post in 2013
Oncolytics Biotech Inc. is a clinical-stage biopharmaceutical company based in Calgary, Canada, focused on developing innovative therapies for cancer treatment. Its primary product, pelareorep, is an immuno-oncology agent derived from reovirus, designed to enhance the immune system's ability to target and eliminate tumors, particularly those with an activated Ras pathway. The company has established collaboration agreements with Merck KGaA and Pfizer to explore the use of pelareorep in combination with other treatments for specific types of cancer, including hormone-receptor positive, human epidermal growth factor 2-negative metastatic breast cancer. In addition to pelareorep, Oncolytics Biotech is advancing other projects in its pipeline aimed at various cancers, including breast and gastrointestinal cancers. Founded in 1998, Oncolytics Biotech continues to seek novel approaches to address unmet medical needs in oncology.

Pacific Growth Equities

Acquisition in 2009
Pacific Growth Equities is a research-driven investment bank specializing in technology-based emerging growth companies, offering a full range of investment banking and brokerage services including Public Equity offerings, Private Equity offerings, and Mergers & Acquisitions. With a focus on life sciences, technology, healthcare, and consumer growth companies, they provide high-quality research for institutional investors and superior execution for corporate clients. Their Sales & Trading team, with an average of 15 years of experience, maintains strong relationships with institutional buyers of emerging growth stocks. As an independent and employee-owned firm, clients have direct access to senior professionals, ensuring hands-on management throughout transactions. Pacific Growth Equities prides itself on its entrepreneurial spirit, innovative approach, and commitment to delivering creative solutions tailored to meet the needs of both institutional and investment banking clients.

Valkyrie Investments

Valkyrie Investments is an alternative asset management firm that bridges traditional finance with the emerging cryptocurrency sector. The firm focuses on creating and managing diverse portfolios and products that include exposure to digital assets and other innovative investments. With a team of seasoned professionals who have extensive experience in leading financial institutions, Valkyrie Investments offers a platform designed to make investing in alternative assets both accessible and secure. The firm emphasizes the development of unique investment products, aiming to enhance returns for investors while fostering economic growth and technological advancement.
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