WBB Securities, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
WBB Securities, LLC offers investment advisory and broker-dealer services through a managed account program that can be discretionary or non‑discretionary. The firm’s brochure lists individual clients (including high‑net‑worth and non‑HNW), pension and profit‑sharing plans, charitable organizations, corporations and other investment advisers among its client types.
WBB’s approach emphasizes asset allocation and custom portfolio construction using methods that include fundamental, technical and charting analysis, with strategies that range from long‑term holdings to short‑term trading. Accounts are custodied at National Financial Services or TD Ameritrade and may be managed on platforms such as Envestnet or FTJ FundChoice; Advisory Representatives collect client profile information and tailor allocations to stated objectives and risk tolerance.
What distinguishes WBB from many peers is its dual role as both a registered investment adviser and a FINRA‑member broker/dealer, with an in‑house investment banking and equity research capability and participation in underwriting for issuers. The firm also notes that its Advisory Representatives are registered representatives and that associated persons include CPAs and insurance agents, and it reports no assets under management as of February 1, 2026, while retaining the ability to serve other registered investment advisers as clients.
Client services
Expertise
Occupation focus
Fee options
Under $100,000 - $100,000: 2.00% $100,001 - $250,000: 1.75% $250,001 - $500,000: 1.50% $500,001 - $1,000,000: 1.25% $1,000,001 - $2,000,000: 1.00% $2,000,001 - $3,000,000: 0.85% $3,000,001+: 0.75%
Commissions may be earned in addition to advisory fees through broker/dealer services; $7.50 per trade confirmation for each transaction.
Account minimum: $25,000
Main office
See office20 Commerce Dr, Ste 135
Cranford NJ 07016
Advisors at this office
1
Offices (2)
Most active in
California · New Jersey
Also doing business as
Wbb Securities, LLC · Westfield Bakerink Brozak, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Matthew M
Series 63, Series 65
Lakeside, CA
WBB Securities, LLC
Matthew Miller is a financial advisor with WBB Securities, LLC, holding Series 63 and Series 65 licenses and with 31 years of industry experience. He has worked at Vanderbilt Securities, LLC and other related firms since 2020, and has been with WBB Securities, LLC since 2011. Miller also engages in occasional consulting and trade review for various firms outside of regular market hours. WBB Securities, LLC provides investment advisory and broker-dealer services through managed account programs that serve individual clients, pension plans, charitable organizations, corporations, and other advisers. The firm combines asset allocation and custom portfolio construction using fundamental, technical, and charting analysis and operates both as a registered investment adviser and a FINRA-member broker/dealer with in-house investment banking and equity research capabilities.
Michelle T
Series 63, Series 66
Lakeside, CA
WBB Securities, LLC
Michelle Thomas is a financial advisor at WBB Securities, LLC with 19 years of industry experience. She holds Series 63 and Series 66 licenses and has been associated with WBB Securities since 2013 in various roles. Her prior work includes positions at Vanderbilt Securities, Vanderbilt Advisory Services, ImpactU.Investments, and Consolidated Portfolio Review. WBB Securities, LLC provides investment advisory and broker-dealer services to individual clients, pension and profit-sharing plans, charitable organizations, corporations, and other advisers. The firm employs asset allocation and custom portfolio construction techniques, combining fundamental, technical, and charting analysis across both long-term and short-term strategies, while functioning as both a registered investment adviser and a FINRA-member broker/dealer with in-house investment banking and equity research capabilities.
Stephen B
Series 63, Series 65
Cranford, NJ
WBB Securities, LLC
Stephen Brozak III is a financial advisor with WBB Securities, LLC, holding Series 63 and Series 65 designations and bringing 40 years of industry experience. He has been with WBB Securities since 2002 and also associated with Westfield Bakerink Brozak, LLC since 2001. Outside of his advisory roles, he is the sole owner of Brozak, DeJean & Associates, LLC, a non-investment related entity used solely for tax purposes. WBB Securities, LLC provides investment advisory and broker-dealer services through managed account programs serving individual clients, pension plans, charitable organizations, corporations, and other advisors. The firm utilizes asset allocation and custom portfolio construction involving fundamental, technical, and charting analysis, offering both discretionary and non-discretionary strategies.
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