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Investment Adviser Firm Summary

WBB SECURITIES, LLC (CRD# 118440 / SEC# 8-53660)
Alternate Names: WBB SECURITIES, LLC , WESTFIELD BAKERINK BROZAK, LLC

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
Arkansas Approved 01/28/2011
California Approved 06/17/2004
Connecticut Approved 05/19/2014
Florida Approved 02/23/2011
Missouri Terminated 01/05/2018
New Jersey Approved 07/13/2006
New York Approved 03/27/2012
Oklahoma Approved 03/29/2017
Oregon Terminated 10/16/2013
Pennsylvania Approved 01/23/2012
Texas Approved 01/11/2018
Utah Approved 02/02/2007

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


Not Currently Notice Filed


EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser