David C. Breeden
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.
David Clay Breeden was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 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
January 3, 2012 - April 4, 2017
SCHWAB WEALTH ADVISORY, INC.
May 4, 2007 - December 31, 2011
CHARLES SCHWAB & CO., INC.
June 29, 2000 - April 4, 2017
CHARLES SCHWAB & CO., INC.
March 7, 1995 - September 9, 1997
SCOTTRADE, INC.
June 17, 1994 - March 21, 1995
LPL FINANCIAL LLC
July 6, 1992 - May 17, 1994
ADAMS, HESS, MOORE & CO.
January 11, 1991 - April 28, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
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
Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
Red Flags
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