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JB

James G. Breck

KESTRA INVESTMENT SERVICES
Warrington, PA 18976
Some features on this profile are disabled
CRD#: 1786512
JB

Professional summary

James Gifford Breck, who also goes by James G Breck, James Breck, Jim Breck, is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Warrington, Pennsylvania.

James is registered as a RR (Registered Representative) and started their career in finance in 1988. James has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James G Breck | James Breck | Jim Breck

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) - BD

Click below to view James Gifford Breck's CRS (Customer Relationship Summary).
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

June 30, 2008 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 2600 Kelly Road Suite 210, Warrington, PA 18976
BD
CRD#: 42046
Warrington, PA
Past

April 7, 1999 - June 30, 2008

BRIDGMAN-BOURGER SECURITIES CORP.

BD
CRD#: 21995
HINESBURG, VT
Past

September 9, 1994 - October 27, 1999

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

October 15, 1993 - October 11, 2005

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

December 9, 1992 - October 24, 1997

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

February 12, 1991 - December 6, 1993

GREEN HILL FINANCIAL SERVICE CORPORATION

BD
CRD#: 4882
Past

December 15, 1989 - February 20, 1991

DIRECTED SERVICES LLC

BD
CRD#: 21675
WEST CHESTER, PA
Past

February 4, 1988 - November 8, 1989

AETNA LIFE INSURANCE AND ANNUITY COMPANY

BD
CRD#: 13256
HARTFORD, CT

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(12/5/2008)
RR
Delaware
(12/5/2008)
RR
Florida
(6/30/2008)
RR
Georgia
(11/18/2013)
RR
Illinois
(12/5/2008)
RR
Maryland
(6/30/2008)
RR
Massachusetts
(9/27/2016)
RR
New Jersey
(6/30/2008)
RR
New York
(12/5/2008)
RR
Texas
(12/5/2008)
RR
Vermont
(5/24/2023)
RR
Wisconsin
(9/28/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/3/1988
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

KI
KESTRA INVESTMENT SERVICES, LLC
KESTRA INVESTMENT SERVICES, LLC | PARTNERS SECURITIES, INC. | NFP SECURITIES, INC. | NFP SECIRITIES, INC. | NFP ADVISOR SERVICES, LLC | NFP ADVISOR SERVICES

CRD#: 42046 / SEC#: , 8-49672

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
5707 Southwest Parkway 2-125, Austin, TX 78746
Mailing Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Phone number
(844) 553-7872
Established
Texas since 09/01/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
KESTRA FINANCIAL, INCSOLE MEMBER
AMORE, JOHN VINCENTPRESIDENT5430932
CHESTER, KRISTEN LAWLESSCHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT6896952
KANT, VINAYCHIEF DIGITAL TECHNOLOGY OFFICER7976827
PEDLOW, MICHAEL ROSSCHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT4871563
POER, JAMES LYNNCHIEF EXECUTIVE OFFICER1983357
SCHOENBECK, MARK PAULEXECUTIVE VICE PRESIDENT2625829
YIN, YINCONTROLLER3219513
ZEGERS, SCOTT MATTHEWCHIEF FINANCIAL OFFICER4831659

Disclosures

Regulatory Event14
Arbitration2

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.

Company Information

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046Warrington, PA 18976

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