Michael H. Hochstat
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.
Michael Howard Hochstat was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2015 - December 31, 2017
WBB SECURITIES, LLC
March 29, 2007 - May 8, 2015
AEGIS CAPITAL CORP.
June 7, 2005 - May 16, 2007
LEEB BROKERAGE SERVICES, INC.
November 25, 2003 - June 15, 2005
PUNK, ZIEGEL & COMPANY, L.P.
July 31, 1993 - November 20, 2003
CITIGROUP GLOBAL MARKETS INC.
August 30, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
July 28, 1987 - September 21, 1988
PRUDENTIAL EQUITY GROUP, LLC
March 21, 1986 - July 28, 1987
FIRST INTERREGIONAL EQUITY CORP.
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
Current 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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