Investing is a highly complex, highly regulated industry. WBB has prepared a series of statements, as required by FINRA, the NYSE and the SEC.
Please take a moment to review each in detail. These statements provide our brokers and clients with clear, specific discussions on our clients’ risks and the regulations our firm operates within. If you have any questions, please contact us. We are at your service.
Quarterly reports regarding WBB Securities, LLC’s Order Routing information in accordance with SEC Rule 606 may be obtained in writing by contacting our San Diego office. Currently, WBB Securities, LLC is exempt from SEC Rule 605, Order Execution.