Edward L. Capko
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.
Edward Louis Capko, who also goes by Ed Capko, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1990. Edward had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2010 - February 29, 2016
WBB SECURITIES, LLC
December 15, 2008 - April 30, 2010
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
November 17, 2005 - December 4, 2008
FIRST ALLIED SECURITIES, INC.
June 13, 2005 - December 4, 2008
FIRST ALLIED SECURITIES, INC.
July 20, 2004 - December 31, 2007
CAPKO CAPITAL MANAGEMENT, LLC
July 2, 2004 - June 13, 2005
ROUND HILL SECURITIES, INC.
November 5, 2001 - July 20, 2004
A. G. EDWARDS & SONS, INC.
June 18, 1997 - July 20, 2004
A. G. EDWARDS & SONS, INC.
December 11, 1992 - June 19, 1997
EDWARD JONES
October 31, 1990 - November 24, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 1990 - September 13, 1990
HIBBARD BROWN & CO., 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
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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