WBI INVESTMENTS, LLC of RED BANK, NJ is an SEC-registered investment adviser (CRD 106336). Regulatory assets under management: $539.6M.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles, Charities, Corporations.
| Name | Role | Location |
|---|---|---|
| Donald Robert Schreiber | CO-CEO, CO-CIO, CO-PORTFOLIO MANAGER, CCO, AND TREASURER; SOLE OWNER | — |
| Ann Holly Schreiber | SECRETARY, CHIEF MARKETING OFFICER | — |
| Matthew Earl Schreiber | CO-CEO, CO-CIO, AND CO-PORTFOLIO MANAGER | — |
| Eric Richard Hedenburg | CHIEF TECHNOLOGY OFFICER | — |
| SCHREIBER DONALD ROBERT | CEO, TREASURER; CO-CEO, CO-CIO, CO-PORTFOLIO MANAGER, CCO, AND TREASURER; CO-CEO, CO-PORTFOLIO MANAGER, TREASURER (+3 more) | — |
| CONFESSORE ROBERT | VICE PRESIDENT; VICE-PRESIDENT | — |
| STROIK GARY EDWARD | PORTFOLIO MGR.; PORTFOLIO MGR. & CHIEF COMPLIANCE OFFICER; PORTFOLIO MGR./CHIEF COMPLIANCE OFFICER (+2 more) | — |
| DUFFY THOMAS JOSEPH | ASSOCIATE PLANNER | — |
| MURPHY KEVIN FRANCIS | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL | — |
| SCHREIBER MATTHEW EARL | CO-CEO, CHIEF INVESTMENT STRATEGIST; CO-CEO, CO-CIO, AND CO-PORTFOLIO MANAGER; PRESIDENT (+1 more) | — |
| COSTENBADER WALTER RUSSELL | CHIEF COMPLIANCE OFFICER | — |
| CRESPO TRACEY MICHAEL | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICERS; CHIEF OPERATIONS OFFICERS | — |
| HEDENBURG ERIC RICHARD | CHIEF TECHNOLOGY OFFICER | — |
| BONNA CYNTHIA ROSE | CHIEF COMPLIANCE OFFICER | — |
| SCHREIBER ANN HOLLY | SECRETARY; SECRETARY, CHIEF MARKETING OFFICER | — |
| MARSHALL CATHERINE E | GENERAL COUNSEL | — |
| LAGERMASINI PAUL JOSEPH | CHIEF FINANCIAL OFFICER | — |
| VAN SOLKEMA STEVEN A | PRESIDENT, CHIEF INVESTMENT OFFICER AND CO-PORTFOLIO MANAGER; VICE PRESIDENT & CHIEF INVESTMENT OFFICER | — |
| STROIK CYNTHIA ROSE | CHIEF COMPLIANCE OFFICER | — |
| CAIN KERRI E | CHIEF FINANCIAL OFFICER | — |
| BROMBERG MATTHEW JAMES | GENERAL COUNSEL | — |
| KEST ALYSON RENEE | CHIEF COMPLIANCE OFFICER & COUNSEL | — |
| KREITZ SCOTT FREDERICK | CHIEF OPERATING OFFICER | — |
| SCHINDLER DINA NICOLE | CHIEF COMPLIANCE OFFICER | — |
| Ann Holly Hedberg | SECRETARY, CHIEF ADMINISTRATIVE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-08-05 | regulatory | THE SEC'S ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS RELATES TO ALLEGATIONS THAT WBI INVESTMENTS, LLC AND ITS AFFILIATE, MILLINGTON SECURITIES, LLC, MADE MATERIAL MISSTATEMENTS CONCERNING PAYMENTS THAT MILLINGTON RECEIVED FOR SENDING CLIENT ORDERS TO OTHER BROKERAGE FIRMS FOR… | Final | $750K |