Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Breann? Claim Your ProfileBreann Lisa Root is a Registered Representative and Investment Advisor Representative with over 20 years of experience in the financial industry. Breann is currently employed by Hsbc Securities (usa) Inc. Prior to joining Hsbc Securities (usa) Inc., Breann was employed by Citigroup Global Markets Inc. Breann is licensed to conduct business in a number of states including, but not limited to, District of Columbia, Kansas, Maryland, New Jersey, New York and Virginia. Breann has passed several industry examinations, including Series 66, Series 10, Series 4, Series 53, Series 24, Series 99TO, SIE and Series 7. Breann holds a number of designations and has completed several specialized training programs, including Operations Professional Examination, General Securities Sales Supervisor - General Module Examination, Registered Options Principal Examination, Municipal Securities Principal Examination, General Securities Principal Examination, Securities Industry Essentials Examination, and General Securities Representative Examination.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
NY
07/03/2021 - Present
Hsbc Securities (usa) Inc. (NEW YORK CITY NY)
NY
06/29/2007 - 06/22/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
05/13/2003 - 05/18/2007
M&T SECURITIES, INC. (CHEEKTOWAGA NY)
MN
12/11/2002 - 04/25/2003
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
12/11/2002 - 04/25/2003
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 01/02/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/18/2008
Series 4 - Registered Options Principal Examination
BC
Issued 08/27/2004
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/04/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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