Our people are truly our greatest asset. WBB Securities has a team that has worked across the financial industry at some of the most storied names in finance, accumulating knowledge and a collective experience that you will benefit from. Their dedication and determination allow them to deploy their investment and financial acumen to generate long-term value for our investors and clients. We offer our investors and clients a wide range of investment and financial services matched to their needs and desired outcomes.
Steve Brozak, Managing Partner & President
Steve Brozak is the Managing Partner and President of WBB Securities. Before co-founding WBB Securities, Mr. Brozak held various positions in finance at several prominent Wall Street firms including Alex. Brown & Sons, Cowen & Company, Dean Witter, and Salomon Brothers.
As the firm's Senior Equity Analyst, Mr. Brozak is an award winning analyst whose research has been singled out from his peers for accuracy and performance year after year by the financial industry's most highly regarded rankings organizations. His research is currently monitored by the Bloomberg, StarMine and FactSet platforms. Most recently in 2013, Mr. Brozak was selected as a top analyst in the pharmaceuticals sector by the StarMine/Financial Times Industry Analyst Awards system. The Wall Street Journal distinguished Mr. Brozak as its Best on the Street Medical Equipment and Supplies financial analyst in its 19th Annual Best on the Street Survey. In 2010, Mr. Brozak received the StarMine Thompson Reuters/Financial Times Best Brokerage Analyst award in the Biotechnology space.
With a 30-year track record in sales, banking and analysis in life sciences, Mr. Brozak is a highly sought after media commentator on the life sciences sector by prominent news agencies on the web, television, and in print media. As a speaker, Mr. Brozak is invited to address major institutional audiences at numerous industry conferences and summits to share his ideas and expertise in identifying trends in the healthcare. Mr. Brozak is a published author in multiple scientific journals such as Nature, The British Medical Journal, and Brain Stimulation. He is also a contributor to Forbes and ABC News where he expresses his views about healthcare.
Mr. Brozak served in the United States Marine Corps retiring as a Lieutenant Colonel and in retirement served on the Secretary of the Navy's Navy and Marine Corps Retiree Council, where he focused on healthcare, benefits and other veteran issues. Mr. Brozak received his BA and MBA from Columbia University, and his Doctorate in Medical Humanities (DMH) from Drew University. Mr. Brozak's doctoral focus was on the U.S. healthcare system. Mr. Brozak holds FINRA licenses 3, 7, 8, 24, 63, 65, 79, 86, 87 and 99.
Matthew Miller, Managing Director, Trading & Operations
Matthew Miller is the Managing Director of Trading and Operations for WBB Securities and oversees all aspects of trading and trading related operations such as settlements, P&S, and dealer relations. Mr. Miller has over 20 years of trading desk experience on both the buy side and sell side, trading a variety of products including equities, fixed income, derivatives and commodities/futures.
Mr. Miller began his career at Jack White & Co. in 1993 where he quickly rose through the ranks to become Trading Desk Manager prior to the firm being acquired by TD Waterhouse. Since the early 1990’s, Mr. Miller has held management positions in trading and operations for such major firms as TD Waterhouse and LPL Financial. Prior to joining WBB Securities in 2011, Mr. Miller was Vice President of Fixed Income Trading at LPL Financial. Mr. Miller studied Finance and Accounting at San Diego State University, and holds FINRA licenses 3, 4, 7, 9, 10, 24, 53, 55, 63, 65, and 87.
Michelle Thomas, Chief Compliance Officer
Michelle Thomas serves as the Chief Compliance Officer for WBB Securities. Ms. Thomas has worked for WBB Securities since 2012 and brings over two decades experience as both a business owner and a member of senior management at Jack White & Co., TD Waterhouse and Allstate Financial Services. Ms. Thomas has expertise in financial operations and compliance in both brokerage and managed accounts. Beginning her career in 1991, Ms. Thomas has served in a quality control capacity and has been instrumental in creating solutions and enhancing written procedures mitigating both regulatory and financial risk.
Ms. Thomas holds Series 7, 66, and 24 licenses and the California Life, Health, and Disability Insurance license. She is a graduate of the Certified Regulatory and Compliance Professional Program (CRCP) through the FINRA Institute at Wharton School of Business, a program tailored to securities laws and regulations.
Steve Thornton, Financial and Operations Principal
With over 20 years of securities compliance, auditing and accounting experience, Steve Thornton serves as a Principal and the FINOP for WBB Securities. In addition to Mr. Thornton’s responsibilities with WBB Securities, he is also the President of Thornton & Associates, LLC which is a national compliance consulting firm. Mr. Thornton specializes in the areas of general compliance, net capital regulation, general accounting practices, anti-money laundering, FINRA New Member Applications and Continuance in Membership Applications. Mr. Thornton has extensive experience with SEC, NASD, FINRA and MSRB rules and regulations.