Stephen G. Brozak
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, Series 99TO, Series 79TO, SIE, Series 87, Series 86, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
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).
Certified licenses
Experience
June 17, 2004 - Present
WBB SECURITIES, LLC
Office #1: 20 Commerce Dr Ste 135, Cranford, NJ 07016January 3, 2002 - Present
WBB SECURITIES, LLC
Office #1: 20 Commerce Dr Ste 135, Cranford, NJ 07016July 8, 1997 - February 25, 2002
VANGUARD CAPITAL
December 22, 1992 - July 23, 1997
ADVEST, INC.
August 23, 1991 - January 4, 1993
ALEX. BROWN & SONS INCORPORATED
July 1, 1988 - August 30, 1991
FINANCIAL SQUARE PARTNERS
September 24, 1986 - July 12, 1988
MORGAN STANLEY DW 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
(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)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 7/30/1990
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
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
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