Kristina M. Cole
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.
Kristina Marie Cole, who also goes by Kristina Marie Vandergriff, was a registered financial professional .
Kristina is a previously registered financial professional and started their career in finance in 1998. Kristina had worked at 8 firms and has passed the Series 66, Series 63, Series 55, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2011 - December 31, 2013
WBB SECURITIES, LLC
January 18, 2011 - March 12, 2014
WBB SECURITIES, LLC
January 23, 2007 - January 18, 2011
COMMONWEALTH FINANCIAL NETWORK
November 19, 2004 - January 18, 2007
LPL FINANCIAL LLC
March 31, 2004 - November 9, 2004
TD AMERITRADE, INC.
March 27, 2000 - April 2, 2004
CHARLES SCHWAB & CO., INC.
April 2, 1999 - November 16, 1999
WORLD TRADE FINANCIAL CORPORATION
February 25, 1999 - March 19, 1999
WORLD TRADE FINANCIAL CORPORATION
August 12, 1998 - February 24, 1999
LLOYD WADE SECURITIES INC.
August 12, 1998 - April 14, 1999
DEL MAR FINANCIAL SERVICES, INCORPORATED
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
Series 55
Date: 3/14/2001
Limited Representative-Equity Trader ExamCurrent 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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