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Leading with experience, stability, and innovation, Wedbush is dedicated to securing your interests, strengthening your vision, and maximizing your financial success.

Client Services Leadership


R. James Richards
Executive Vice President & Head of Client Services

Jim is Executive Vice President of Client Financial Services and is a member of the Wedbush Executive Management Committee. He has been with Wedbush Securities for 27 years and is currently responsible for Information Technology, Human Resources, Merger and Acquisition activity as well as management of Client Financial Services. Jim was previously the Head of Private Client Services, Clearing & Technology, and Operations. He received his Bachelor of Science degree in Business Administration from California State University, Los Angeles.

Wedbush Advisor Management

Darryl David
Senior Vice President & Division Manager

Darryl is a Senior Vice President & Division Manager of Client Services. Mr. David joined Wedbush Securities in September 1991 and oversees the overall growth and management of several private client offices in Washington, Alaska, Arizona, New Hampshire, Hawaii and Northern California. Prior to joining Wedbush, Mr. David was a Business Reporter and Weekend Anchor for NBC News WMAQ in Chicago, Illinois. Mr. David is a graduate of Seattle University where he earned his Bachelor of Commercial Science degree.

Roc W. Willis
Senior Vice President & Division Manager

Roc Willis is Senior Vice President & Division Manager of Client Services. An experienced leader, Roc has over three decades of experience in the securities industry. Roc joined Wedbush in early 2011 after spending 17 years managing four different offices with Morgan Stanley, and seven years managing the A.G. Edwards / Wells Fargo Advisors office in La Jolla. In this role, Roc oversees the growth and management of over ten Private Client Services offices throughout California and Oregon. Roc attended Western Washington State University. He and his wife Lisa have 4 beautiful children with 2 still at home.

Independent Advisor Management

Katrina L. Dudley
Senior Vice President & Office Manager

Katrina Dudley joined Wedbush Securities in January 2009 and serves as its Senior Vice President, Office Manager, for the firm’s La Jolla California office. She has been in the securities industry since 1985, in various roles with increasing responsibilities, including seven years with Linsco Private Ledger.

Prior to her tenure with Wedbush, Katrina was with First Wall Street Corp and Charles Lazzaro, where she steadily rose in the rank from a support role, to Operations Manager and in 2006 was promoted to Chief Compliance Officer. In this role Katrina was responsible for the oversight of the entire compliance function for First Wall Street Corp. In 2009 she was an integral part of the transition team after Wedbush Securities, purchased the assets of First Wall Street Corp, and has been with Wedbush ever since.

Her core value and primary goal is to incorporate a culture of compliance, utilizing regulatory requirements and industry best practices. She accomplishes this by developing an understanding of the advisor’s practice, identifying potential risk, and making sometimes-critical recommendations for corrective action. She is committed to being honest, fair, and reasonable, and remains focused on the retention and support of advisors, with the balance of supervisory oversight.

Katrina currently holds her Series 4, 7, 24, 31, 53, 63, and 66 licenses.

Wedbush Asset Management

Jim E. Ely Jr.
Senior Vice President, Director of Wealth Management

Jim Ely is Senior Vice President, Director of Wealth Management, where he is responsible for the development of the Wedbush Wealth Management Platform and the variety of products it offers. He plans to capitalize on the positive momentum generated by the platform’s successful launch to enhance capabilities and increase adoption. Jim joins the firm with more than 25 years of wealth management experience. He was previously a Director of Wealth Management at Citigroup Global Markets, Inc. and also held senior management roles in wealth management at several major financial services firms after beginning his career as a financial advisor.

Jim received his certification as an Accredited Investment Fiduciary (AIF) and continues to hold his principal license along with his Series 6, 7, 9, 10, 24 and 65.

 

The background of this firm and investment professionals may be found on FINRA's BrokerCheck.