Richard F. Brereton
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 Brereton JR, who also goes by Richard Francis Brereton, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2005. Richard had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2011 - January 3, 2022
HMC INVESTMENTS, LLC
August 26, 2008 - January 21, 2011
BOOMERANG CAPITAL LLC
August 11, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
August 11, 2005 - July 22, 2008
INVESCO CAPITAL MARKETS, INC.
August 11, 2005 - July 22, 2008
MORGAN STANLEY DISTRIBUTORS INC.
August 11, 2005 - July 22, 2008
MORGAN STANLEY DISTRIBUTION, INC.
January 5, 2005 - July 22, 2008
MORGAN STANLEY & CO. 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
Series 7TO
Date: 3/4/2024
General Securities Representative ExaminationCurrent Firm
HMC INVESTMENTS, LLC
CRD#: 40581 / SEC#: , 8-49140
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
