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KB

Kevin M. Breen

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CRD#: 2072548
KB

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.

Kevin Mckinley Breen was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1991. Kevin had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 18, 2016 - June 22, 2018

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
NEW YORK, NY
Past

August 27, 2014 - September 30, 2015

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

RIA
CRD#: 110353
YORK, ME
Past

April 21, 2014 - September 24, 2015

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
NEW YORK, NY
Past

October 26, 2010 - March 7, 2013

SANTA BARBARA ASSET MANAGEMENT, LLC

RIA
CRD#: 138123
SANTA BARBARA, CA
Past

October 6, 2007 - May 21, 2008

DEAM INVESTOR SERVICES, INC.

BD
CRD#: 754
NEW YORK, NY
Past

June 23, 2006 - August 25, 2010

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

April 12, 2005 - June 8, 2006

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
CHARLOTTE, NC
Past

December 15, 2004 - April 11, 2005

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
MINNEAPOLIS, MN
Past

April 30, 1997 - December 9, 2004

SYMETRA ASSET MANAGEMENT COMPANY

RIA
CRD#: 109769
SEATTLE, WA
Past

May 23, 1995 - October 13, 2003

SYMETRA SECURITIES, INC.

BD
CRD#: 739
BELLEVUE, WA
Past

October 2, 1992 - January 14, 1995

SPRING STREET SECURITIES, INC.

BD
CRD#: 19825
SEATTLE, WA
Past

January 25, 1991 - December 2, 1991

COLUMBIA FINANCIAL CENTER INCORPORATED

BD
CRD#: 23562
PORTLAND, OR

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/27/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/18/2011
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/22/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/1/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/31/1999
Investment Company Products/Variable Contracts Principal Examination

Current Firm

UA
UBS ASSET MANAGEMENT (US) INC.
BRINSON ADVISORS | UBS GLOBAL ASSET MANAGEMENT (US) INC. | UBS GLOBAL ASSET MANAGEMENT | UBS ASSET MANAGEMENT (US) INC. | PAINE WEBBER MITCHELL HUTCHINS INC. | MITCHELL HUTCHINS ASSET MANAGEMENT INC. | BRINSON ADVISORS, INC.

CRD#: 583 / SEC#: , 8-21901

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

Main Address
1285 Avenue Of The Americas, New York, NY 10019
Mailing Address
1285 Avenue Of The Americas, New York, NY 10019
Phone number
(212) 821-3000
Established
Delaware since 05/05/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UBS AMERICAS INC.DIRECT OWNER
BELASCO, MICHAEL SCOTTPRESIDENT AND CEO4649742
HORAN, KATHLEEN ELIZABETHCHIEF FINANCIAL OFFICER - FINOP5188874
KEMPER, MARK FREDERICKSECRETARY AND CHIEF LEGAL COUNSEL4347419
MULLEN, BARRY JOHNCHIEF COMPLIANCE OFFICER1814958

Disclosures

Regulatory Event10

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

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

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