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WA

William J. Austin

Some features on this profile are disabled
CRD#: 728234
WA

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.

William Jeffrey Austin was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1981. William had worked at 4 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 5, 2006 - April 11, 2012

WBB SECURITIES, LLC

BD
CRD#: 118440
REDLANDS, CA
Past

February 12, 2001 - November 29, 2001

INDEPENDENT FINANCIAL GROUP, LLC

BD
CRD#: 7717
SAN DIEGO, CA
Past

January 2, 2001 - December 6, 2006

THE SEIDLER COMPANIES INCORPORATED

BD
CRD#: 3911
REDLANDS, CA
Past

January 30, 1995 - January 2, 2001

INDEPENDENT FINANCIAL GROUP, LLC

BD
CRD#: 7717
SAN DIEGO, CA
Past

April 13, 1981 - May 16, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/2/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/11/1981
General Securities Representative Examination

Current Firm

WS
WBB SECURITIES, LLC
WBB SECURITIES, LLC | WESTFIELD BAKERINK BROZAK, LLC

CRD#: 118440 / SEC#: , 8-53660

Arkansas
Registered Investment Advisory firm - SEC (12/31/2020 Terminated)
California
Registered Investment Advisory firm - SEC (6/17/2004 Approved)
Connecticut
Registered Investment Advisory firm - SEC (12/13/2022 Terminated)
Florida
Registered Investment Advisory firm - SEC (11/30/2022 Terminated)
Missouri
Registered Investment Advisory firm - SEC (1/5/2018 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (7/13/2006 Approved)
New York
Registered Investment Advisory firm - SEC (11/30/2022 Terminated)
Oregon
Registered Investment Advisory firm - SEC (10/16/2013 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (12/31/2020 Terminated)
Texas
Registered Investment Advisory firm - SEC (11/30/2022 Terminated)
Utah
Registered Investment Advisory firm - SEC (12/31/2020 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
20 Commerce Dr Suite 135, Cranford, NJ 07016
Mailing Address
3111 Camino Del Rio N #400, San Diego, CA 92108
Phone number
(858) 592-9901
Established
New Jersey since 07/01/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
3

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BROZAK, DEJEAN & ASSOCIATES, LLCOWNER
BROZAK, STEPHEN GILBERTPAUL IIIPRESIDENT, CEO, MANAGING MEMBER1539206
MILLER, MATTHEWTRADING PRINCIPAL, MUNICIPAL SECS PRINCIPAL, OPTIONS PRINCIPAL2229977
THOMAS, MICHELLE DENISECHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER2210435
THORNTON, STEVEN LEEFINOP4496384

Disclosures

Regulatory Event1

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.

Company Information

WBB SECURITIES, LLC

CRD#: 118440

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