Daniel A. Breen Iii

BREEN INVESTORS LP

Houston, TX 77056

Some features on this profile are disabled

CRD#: 1589662

Professional summary

Daniel Anthony Breen Iii III, who also goes by Dan Breen, Daniel A Breen, Daniel Anthony Breen III, Danny Breen, is a registered financial advisor currently at BREEN INVESTORS LP located in Houston, Texas.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Daniel has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan Breen | Daniel A Breen | Daniel Anthony Breen Iii | Danny Breen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Anthony Breen Iii III's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 31, 2020 - Present

BREEN INVESTORS LP

Office #1: 2700 Post Oak Boulevard Suite 1700, Houston, TX 77056

RIA

CRD#: 124822

Houston, TX

Past

January 11, 2019 - December 31, 2019

BREEN INVESTORS LP

RIA

CRD#: 124822

HOUSTON, TX

Past

January 7, 2010 - December 31, 2018

BREEN INVESTORS LP

RIA

CRD#: 124822

HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(3/31/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/4/2009

Uniform Investment Adviser Law Examination

Current Firm

BREEN INVESTORS LP

BREECO MANAGEMENT, L.P. | BREEN INVESTORS LP

CRD#: 124822 / SEC#: 801-62442

RIA

Registered Investment Advisory firm - (9/4/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (8/13/2007 Terminated)

Texas

Registered Investment Advisory firm - (3/31/2020 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2700 Post Oak Boulevard Suite 1700, Houston, TX 77056

Mailing Address

Phone number

(713) 416-1623

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 56,426,394

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Troy Wootton

EDWARD JONES

IAR

Sugar Land, TX

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel A. Breen Iii

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Anthony Breen Iii III's CRS (Customer Relationship Summary).

Certified licenses

Experience

BREEN INVESTORS LP

BREEN INVESTORS LP

BREEN INVESTORS LP

State Registrations and Notice Filings

Exams

Series 65

Date: 8/4/2009

Current Firm

BREEN INVESTORS LP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BREEN INVESTORS LP

TRUST BUT VERIFY

Similar Advisors