Prentice O. Pillow
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.
Prentice Owen Pillow, who also goes by Owen Pillow, was a registered financial professional .
Prentice is a previously registered financial professional and started their career in finance in 1995. Prentice had worked at 8 firms and has passed the Series 63 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 15, 2011 - March 26, 2014
WBB SECURITIES, LLC
October 23, 2009 - April 30, 2011
FORESTERS EQUITY SERVICES, INC.
August 18, 2006 - October 15, 2009
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 24, 2001 - August 25, 2006
CETERA WEALTH SERVICES, LLC
June 1, 1999 - December 21, 2000
TALBOT FINANCIAL SERVICES, INC.
November 16, 1998 - June 1, 1999
SIGNATOR FINANCIAL SERVICES, INC.
August 27, 1997 - November 13, 1998
TITAN/VALUE EQUITIES GROUP, INC.
November 17, 1995 - December 13, 1996
MUTUAL SERVICE CORPORATION
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
