Steven C. Bakerink
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Craig Bakerink was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1983. Steven had worked at 7 firms and has passed the Series 63, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2004 - February 6, 2012
WBB SECURITIES, LLC
January 3, 2002 - February 6, 2012
WBB SECURITIES, LLC
June 28, 1999 - February 22, 2002
PACIFIC AMERICAN SECURITIES, LLC
December 16, 1998 - June 28, 1999
ZA ASSOCIATES, INC.
February 11, 1995 - September 10, 1998
VANGUARD CAPITAL
December 15, 1994 - December 31, 1994
FIRST ALLIED SECURITIES, INC.
May 31, 1989 - December 16, 1994
FIRST AFFILIATED SECURITIES
March 16, 1983 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 4/3/2000
Limited Representative-Equity Trader ExamCurrent Firm
WBB SECURITIES, LLC
CRD#: 118440 / SEC#: , 8-53660
Contact information
FINRA licenses (13 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROZAK, DEJEAN & ASSOCIATES, LLC | OWNER | |
| BROZAK, STEPHEN GILBERTPAUL III | PRESIDENT, CEO, MANAGING MEMBER | 1539206 |
| MILLER, MATTHEW | TRADING PRINCIPAL, MUNICIPAL SECS PRINCIPAL, OPTIONS PRINCIPAL | 2229977 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER | 2210435 |
| THORNTON, STEVEN LEE | FINOP | 4496384 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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