PDF: 12.8.14 WBB Securities Announces Michelle Thomas Elected to FINRA
For Immediate Release
December 8, 2014
SAN DIEGO, CA – WBB Securities is pleased to announce that Michelle Thomas, CRCP has been elected to the FINRA District 2 Committee where she will serve a three-year term.
Ms. Thomas, who currently serves as Chief Compliance Officer for WBB Securities, brings over two decades of professional experience in financial services with a focus in compliance matters and business operations to the committee. “A commitment to ethical standards coupled with a pragmatic perspective on situations is the philosophy that drives my approach and will help small firms within District 2 to operate and resolve issues in a manner that is sensible, efficient and adherent to FINRA policy,” said Ms. Thomas.
Ms. Thomas holds FINRA series 7, 66 and 24 licenses, Life/Health/Disability Insurance license and the Certified Regulatory and Compliance Professional (CRCP) designation through the FINRA Institute at University of Pennsylvania’s Wharton School.
WBB congratulates Ms. Thomas on her newly elected position and looks forward to her contributions toward upholding the regulatory standards set forth by FINRA while working on the committee on behalf of small firms within District 2.
About WBB Securities
WBB Securities is a leading investment management, investment banking, and equity research firm. Established in 2001 and headquartered in San Diego, California, WBB Securities is a registered independent broker dealer and investment advisor with proprietary trading desks that have market-making capabilities. WBB Securities has built a nationwide team of respected senior investment and research professionals with a network of branches throughout the US serving institutional and high net worth clients.
The firm also maintains an investment banking and equity research practice focused exclusively in the life sciences niche. Our investment bank has participated in over 120 transactions leading to $2 billion placed. Whether raising capital or executing strategic transactions, our banking team is equipped to meet your financial needs and is comprised of some of the most knowledgeable people working in the life sciences domain. Our firm has been singled out for its equity research and analytics year after year from our peers for performance by the financial industry’s most highly regarded rankings organizations.