Stephen Gilbertpaul Brozak Iii
Professional Summary
Stephen Gilbertpaul Brozak III, who also goes by Stephen Gilbert Brozak, Stephen Gilbert Paul Brozak III, Stephen Gilbert Paul Brozak, Stephen Gilbertpaul Brozak, Steve Brozak, is a registered financial advisor currently at WBB SECURITIES, LLC located in Cranford, New Jersey. Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Stephen has worked at 6 firms and has passed the Series 65, Series 63,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen Gilbert Brozak, Stephen Gilbert Paul Brozak Iii, Stephen Gilbert Paul Brozak, Stephen Gilbertpaul Brozak, Steve Brozak
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
WBB SECURITIES, LLC | WESTFIELD BAKERINK BROZAK, LLC
Contact Information
Main Address
20 Commerce Dr Suite 135, Cranford, NJ 07016Mailing Address
3111 Camino Del Rio N #400, San Diego, CA 92108Phone Number
(858) 592-9901Established
New Jersey since 07/01/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
3FINRA licenses (13 States and Territories)
Registered to provide investment advisory services in 0 US 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
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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State Registrations and Notice Filings
(1/9/2002)
(6/17/2004)
(1/17/2002)
(1/2/2015)
(1/4/2017)
(2/25/2002)
(8/1/2006)
(1/23/2002)
(4/8/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Mar 2005About the Series 87 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jul 1990SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Stephen Gilbertpaul Brozak III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Gilbertpaul Brozak III's CRS (Customer Relationship Summary).
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