Richard F. Breen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Francis Breen JR, who also goes by Jr Richard Francis Breen, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2006 - December 6, 2012
RIDGEWAY & CONGER, INC.
August 31, 2006 - December 31, 2014
RIDGEWAY CONGER ADVISORY SERVICES
January 14, 2003 - June 29, 2004
WELLS FARGO CLEARING SERVICES, LLC
December 20, 2002 - September 13, 2006
WELLS FARGO CLEARING SERVICES, LLC
November 21, 1994 - December 19, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 18, 1992 - September 15, 1994
MUTUAL SERVICE CORPORATION
August 3, 1990 - September 4, 1992
SECURIAN FINANCIAL SERVICES, INC.
May 12, 1987 - July 3, 1990
GREEN HILL FINANCIAL SERVICE CORPORATION
August 10, 1983 - June 19, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 10, 1983 - June 20, 1986
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RIDGEWAY & CONGER, INC.
CRD#: 113055 / SEC#: , 8-53291
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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