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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

STEVEN M SCHWARY

Advisor at WEDBUSH SECURITIES INC.

Pasadena, CA | Newport Beach, CA

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Search this name across graphsid dfx:ria:555f19ad-7f46-824d-e32b-8c930c5bfebe

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 8, 1997 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WEDBUSH SECURITIES INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 12, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Feb 12, 1993
First registration: Jul 8, 1997
Dual registered: yes, broker-dealer
Other names: STEVEN M SCHWARY
IAPD individual key: 2316561

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WEDBUSH SECURITIES INC.	Bd affiliated wealth	Apr 29, 2026	n/a	yes	Pasadena, CA\|Newport Beach, CA	Current employment
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Aug 1, 2019	Apr 14, 2026	no	NEWPORT BEACH, CA\|Newport Beach, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Aug 4, 2006	Aug 6, 2019	no	EL DORADO HILLS, CA\|NEWPORT BEACH, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jul 8, 1997	Aug 15, 2006	no	NEWPORT BEACH, CA\|NEWPORT BEACH, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
STIFEL, NICOLAUS & COMPANY, INCORPORATED	WEDBUSH SECURITIES INC.	Apr 14, 2026	Apr 29, 2026	15	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Aug 6, 2019	Aug 1, 2019	-5	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	WELLS FARGO ADVISORS	Aug 15, 2006	Aug 4, 2006	-11	Firm change	Other

Relationships

Registered with (4)

→ WEDBUSH SECURITIES INC.Registered adviserregistration: current employment
Apr 29, 2026 to presentfactForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Aug 1, 2019 to Apr 14, 2026factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Aug 4, 2006 to Aug 6, 2019factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jul 8, 1997 to Aug 15, 2006factForm ADV

Dated events

Occurred
Apr 14, 2026
Advisor changed firm
Steven M Schwary left Stifel, Nicolaus & Company, Incorporated for Wedbush Securities Inc. (registered 2026-04-29)
Form ADVobserved 5 days ago