Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Gilbertpaul Brozak is a registered representative with WBB Securities, LLC. Stephen has been in the industry since 1986. Stephen is registered with the state of California, Colorado, Florida, Indiana, New Jersey, and New York. Stephen is also registered with the state of California and New Jersey as an investment advisor representative. Stephen offers financial planning, portfolio management for businesses, and portfolio management for individuals. Stephen is a Series 3, 7, 8, 24, 63, 65, 86, 87, 99TO, and 79TO licensed individual. Stephen is a registered investment advisor representative in California and New Jersey.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
1
2
NJ
08/01/2006 - Present
WBB Securities, LLC (Cranford NJ)
CA
07/08/1997 - 02/25/2002
VANGUARD CAPITAL (DEL MAR CA)
CT
12/22/1992 - 07/23/1997
ADVEST, INC. (HARTFORD CT)
NA
08/23/1991 - 01/04/1993
ALEX. BROWN & SONS INCORPORATED
NY
07/01/1988 - 08/30/1991
COWEN & CO. (NEW YORK NY)
NA
09/24/1986 - 07/12/1988
DEAN WITTER REYNOLDS INC.
IA
Issued 10/26/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/03/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/12/1999
Series 24 - General Securities Principal Examination
BC
Issued 07/30/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/29/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 03/25/2005
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 05/05/1988
Series 3 - National Commodity Futures Examination
BC
Issued 09/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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