Craig M. Adler
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.
Craig Michael Adler was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1993. Craig had worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2010 - June 4, 2015
WBB SECURITIES, LLC
October 12, 2005 - January 3, 2011
C3 CAPITAL, LLC
August 28, 2003 - April 5, 2004
DOMINARI SECURITIES LLC
August 18, 2003 - April 5, 2004
DOMINARI SECURITIES LLC
September 24, 2002 - October 25, 2002
WBB SECURITIES, LLC
March 25, 1998 - September 18, 2000
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
March 14, 1996 - April 24, 1997
DAIWA CAPITAL MARKETS AMERICA INC.
May 3, 1995 - January 16, 1996
PEREGRINE BROKERAGE INC.
September 15, 1994 - March 17, 1995
ING BARING (U.S.) SECURITIES, INC.
October 13, 1993 - September 1, 1994
ADVEST, 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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