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 11Ac1-6 can be obtained in writing by contacting our offices or by viewing below. Currently, WBB Securities, LLC is exempt from SEC rule 11Ac1-5, Order Execution.