Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Lucas Breen has been active in the financial services industry since 1974 and is currently registered as a representative of Ameriprise Financial Services, LLC. Ameriprise Financial Services, LLC has offices in Newport Beach and Santa Ana, California. Robert is also registered as an Investment Advisor Representative in both California and Texas. Robert has experience with a variety of financial services firms including WELLS FARGO ADVISORS, LLC, CITIGROUP GLOBAL MARKETS INC., PRUDENTIAL SECURITIES INCORPORATED, PAINEWEBBER INCORPORATED, and MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. Robert has passed several industry exams including the Series 7TO, SIE, Series 5, PC, and Series 1 exams. Robert's areas of expertise include Asset Allocation Services, Financial Planning, Pension Consulting, Educational Seminars, Publication of Periodicals, Selection of Other Advisers, Portfolio Management for Businesses, and Portfolio Management for Individuals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation services
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.
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2
CA
11/13/2014 - Present
Ameriprise Financial Services, LLC (Newport Beach CA)
CA
04/01/2005 - 11/11/2014
WELLS FARGO ADVISORS, LLC (ANAHEIM CA)
NY
08/02/1993 - 04/21/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
07/30/1984 - 08/06/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
01/31/1980 - 08/27/1984
PAINEWEBBER INCORPORATED
NA
02/16/1977 - 01/31/1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
NA
04/16/1974 - 03/11/1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 06/05/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/23/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 08/29/1977
PC - AMEX Put and Call Exam
BC
Issued 04/10/1974
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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