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EB

Edward J. Breen

SHOPOFF SECURITIES
Irvine, CA 92612
Some features on this profile are disabled
CRD#: 2119699
EB

Professional summary

Edward Joseph Breen, who also goes by Ted Breen, is a registered financial professional currently at SHOPOFF SECURITIES, INC. located in Irvine, California.

Edward is registered as a RR (Registered Representative) and started their career in finance in 1991. Edward has worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ted Breen

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 Edward Joseph Breen'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

November 6, 2024 - Present

SHOPOFF SECURITIES, INC.

Office #1: 18565 Jamboree Road, Suite 200, Irvine, CA 92612
BD
CRD#: 142866
Irvine, CA
Past

October 16, 2023 - November 8, 2024

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

September 20, 2022 - October 11, 2023

ALTACCESS SECURITIES COMPANY, L.P.

BD
CRD#: 119441
DALLAS, TX
Past

October 22, 2019 - September 20, 2022

EMERSON EQUITY LLC

BD
CRD#: 130032
SAN MATEO, CA
Past

November 13, 2018 - September 30, 2019

TRILOMA SECURITIES, LLC

BD
CRD#: 173059
WINTER PARK, FL
Past

March 24, 2017 - November 1, 2018

STRATCAP SECURITIES, LLC

BD
CRD#: 151152
NEW YORK, NY
Past

March 31, 2016 - January 27, 2017

S2K FINANCIAL LLC

BD
CRD#: 248786
ORLANDO, FL
Past

June 5, 2015 - January 8, 2016

HENNION & WALSH, INC.

BD
CRD#: 25766
PARSIPPANY, NJ
Past

February 22, 2012 - February 17, 2015

REALTY CAPITAL SECURITIES, LLC

BD
CRD#: 145454
NEW YORK CITY, NY
Past

April 24, 2000 - August 1, 2011

WELLS INVESTMENT SECURITIES,INC.

BD
CRD#: 15252
NORCROSS, GA
Past

January 31, 1995 - February 8, 1999

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

June 1, 1994 - January 31, 1995

TRANSAMERICA FUND DISTRIBUTORS, INC.

BD
CRD#: 3554
HOUSTON, TX
Past

March 25, 1991 - March 25, 1994

COLONIAL INVESTMENT SERVICES

BD
CRD#: 25929

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
California
(11/6/2024)
RR
Connecticut
(11/6/2024)
RR
Delaware
(11/6/2024)
RR
District of Columbia
(11/6/2024)
RR
Florida
(11/6/2024)
RR
Georgia
(11/6/2024)
RR
Maine
(11/6/2024)
RR
Maryland
(11/6/2024)
RR
Massachusetts
(11/6/2024)
RR
New Hampshire
(11/6/2024)
RR
New Jersey
(11/6/2024)
RR
New York
(11/6/2024)
RR
North Carolina
(11/6/2024)
RR
Pennsylvania
(11/6/2024)
RR
Rhode Island
(11/6/2024)
RR
South Carolina
(11/6/2024)
RR
Vermont
(11/6/2024)
RR
Virginia
(11/6/2024)
RR
West Virginia
(11/6/2024)
RR
Wyoming
(1/10/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/25/1994
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 7
Date: 8/22/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/22/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/13/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SHOPOFF SECURITIES, INC.
SHOPOFF SECURITIES, INC.

CRD#: 142866 / SEC#: , 8-67499

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

Main Address
18565 Jamboree Road, Suite 200, Irvine, CA 92612
Mailing Address
18565 Jamboree Road, Suite 200, Irvine, CA 92612
Phone number
(949) 417-1397
Established
Delaware since 09/15/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 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#
THE SHOPOFF REVOCABLE TRUST DATED 8/12/2004OWNER
MERRIMAN, JO ALMACHIEF OPERATING OFFICER7346895
SHOPOFF, CINDY MILAMTRUSTEE5380583
SHOPOFF, WILLIAM ANTHONYCHIEF COMPLIANCE OFFICER / AML-CO1273471
SHOPOFF, WILLIAM ANTHONYPRESIDENT/CEO1273471
SHOPOFF, WILLIAM ANTHONYTRUSTEE1273471
SHUMBERG, IVANA MFINOP3167225

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

SHOPOFF SECURITIES, INC.

CRD#: 142866Irvine, CA 92612

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