Ryan A. Rauch
Professional summary
Ryan Allan Rauch was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ryan is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Ryan had worked at 5 firms, which includes WBB SECURITIES LLC, NATIONAL SECURITIES CORPORATION, JEFFERIES LLC, TRUIST SECURITIES INC., CANACCORD GENUITY LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2009 - August 31, 2010
WBB SECURITIES, LLC
April 5, 2007 - March 20, 2008
NATIONAL SECURITIES CORPORATION
March 7, 2005 - January 3, 2007
JEFFERIES LLC
August 8, 2003 - March 14, 2005
TRUIST SECURITIES, INC.
June 21, 2000 - July 10, 2003
CANACCORD GENUITY LLC
State Registrations and Notice Filings
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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 |
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