SB
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
3 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Steve Brozak may receive commissions or trail compensation for investments directed through WBB Securities, LLC. This creates a conflict of interest as he may have an incentive to sell commissionable products or forego advisory services in favor of commissionable investments.
Areas of Practice
Investment Management
Loading...
Advisor Information
Office location
20 Commerce Dr, Ste 135, Cranford, NJ, 07016
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Stephen is the sole owner of Brozak, DeJean & Associates, LLC, a non-investment related LLC for tax purposes only. He spends minimal time on this activity.
Employment History
Current Registrations
Wbb Securities, LLC
June 2004 - Present · 21 yrs 7 mos
Wbb Securities, LLC Broker
January 2002 - Present · 24 yrs
Previous Registrations
Vanguard CapitalBroker
July 1997 - February 2002 · 4 yrs 7 mos
Advest, INC.Broker
December 1992 - July 1997 · 4 yrs 7 mos
Alex. Brown & Sons IncorporatedBroker
August 1991 - January 1993 · 1 yr 5 mos
Cowen & CO.Broker
July 1988 - August 1991 · 3 yrs 1 mo
Dean Witter Reynolds INC.Broker
September 1986 - July 1988 · 1 yr 10 mos
State Registrations7 states
CACOFLINNJNYTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.