Bernard A. Breton
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.
Bernard Andre Breton, who also goes by Bernard Andre Breton, Bernie Breton, Bernard A Breton, was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1990. Bernard had worked at 11 firms and has passed the Series 66, Series 63, Series 7TO, Series 99TO, SIE, Series 7, Series 14 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
November 5, 2020 - November 6, 2020
SECURITIES AMERICA, INC.
May 5, 2020 - November 18, 2020
KMS FINANCIAL SERVICES, INC.
April 9, 2020 - January 15, 2021
KMS FINANCIAL SERVICES, INC.
May 24, 2017 - December 16, 2021
TRIAD ADVISORS LLC
May 9, 2017 - December 16, 2021
TRIAD ADVISORS LLC
December 22, 2015 - January 18, 2017
INVESTORS CAPITAL CORP.
April 21, 2010 - October 28, 2010
CETERA WEALTH SERVICES, LLC
May 16, 2006 - May 4, 2017
CETERA ADVISORS LLC
May 16, 2006 - May 4, 2017
CETERA ADVISORS LLC
May 24, 2005 - May 9, 2006
CARILLON INVESTMENTS, INC.
February 8, 2000 - May 9, 2006
CARILLON INVESTMENTS, INC.
June 19, 1995 - February 4, 2000
METROPOLITAN LIFE INSURANCE COMPANY
June 19, 1995 - February 4, 2000
MSI FINANCIAL SERVICES, INC.
May 1, 1990 - February 7, 1995
EQUITABLE ADVISORS, LLC
March 5, 1990 - February 7, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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: 2/6/2024
General Securities Representative ExaminationSeries 99TO
Date: 2/6/2024
Operations Professional ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
