Scott E. Breault

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CRD#: 2178813

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.

Scott Edward Breault, who also goes by Scott E Breault, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1992. Scott had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott E Breault

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.

1)SEB ENTERTAINMENT, NOT INVESTMENT RELATED, 37 TUPELO RD, SWAMPSCOTT, MA, BAR/RESTAURANT, OWNER, SINCE 02/2017, 50H/WEEK 2)INSURANCE AGENT; INVESTMENT RELATED; 37 TUPELO ROAD, SWAMPSCOTT MA 01907; SERVICE AND SALE OF VARIABLE ANNUITIES; AGENT; START DATE: FEBRUARY 2001; 2 HOURS/MO INCLUDING TRADING HOURS; SERVICE AND SALES OF INSURANCE PRODUCTS 3) ELITE CONSULTING PARTNERS, NOT INVESTMENT RELATED, 301 NORTH CHURCH ST., STE 226, MOORESTOWN NJ, RECRUITING AGENT, SINCE 05/2021, 25H/WEEK 4) VOLLI ENTERTAINMENT, NOT INVESTMENT RELATED, 37 TUPELO ROAD, SWAMPSCOTT, MA 01907, ADVENTURE/TRAMPOLINE PARTIES, CEO/CONSULTANT, JANUARY 2024, 120 HOURS/MONTH, 80 HOURS/MONTH DURING SECURITIES TRADING HOURS, CONSULTING SERVICES. 5) MIRAMONTES CAPITAL, 4701 TELLER AVENUE, NEWPORT BEACH, CA 92660, FINANCIAL ADVISOR, IAR, 01/29/2024, 40 HOURS/MONTH, 20 HOURS/MONTH DURING SECURITIES TRADING HOURS, HELP CLIENTS WITH THEIR FINANCIAL NEEDS.

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

February 6, 2024 - August 25, 2025

MIRAMONTES CAPITAL, LLC

RIA

CRD#: 264786

NEWPORT BEACH, CA

Past

August 2, 2022 - August 25, 2025

BALANCED SECURITY PLANNING, INC.

CRD#: 4038

Swampscott, MA

Past

November 24, 2020 - April 20, 2021

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

QUINCY, MA

Past

September 23, 2020 - April 20, 2021

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

QUINCY, MA

Past

December 20, 2018 - August 8, 2019

TRUST ADVISORY GROUP LTD

RIA

CRD#: 106926

Arlington, MA

Past

August 8, 2018 - August 8, 2019

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

Arlington, MA

Past

July 9, 2014 - January 25, 2017

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

Past

February 13, 2004 - May 1, 2014

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

September 28, 1999 - January 7, 2004

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

Past

September 29, 1998 - March 1, 1999

CONSECO EQUITY SALES, INC.

CRD#: 4125

CARMEL, IN

Past

April 22, 1997 - September 25, 1998

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

PORTLAND, ME

Past

March 16, 1992 - November 13, 1996

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MIRAMONTES CAPITAL, LLC

BOYER & ASSOCIATES - STRATEGIC SOLUTIONS FOR WEALTH MANAGEMENT | VANCLEF FINANCIAL GROUP | PRIMARY ADVISORS | MIRAMONTES CAPITAL, LLC | MIRAMONTES CAPITAL , LLC

CRD#: 264786 / SEC#: 801-110012

RIA

Registered Investment Advisory firm - (3/2/2017 Approved)

California

Registered Investment Advisory firm - (4/6/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/7/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/19/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/11/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/27/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/12/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/11/1997

General Securities Principal Examination

Current Firm

MIRAMONTES CAPITAL, LLC

BOYER & ASSOCIATES - STRATEGIC SOLUTIONS FOR WEALTH MANAGEMENT | VANCLEF FINANCIAL GROUP | PRIMARY ADVISORS | MIRAMONTES CAPITAL, LLC | MIRAMONTES CAPITAL , LLC

CRD#: 264786 / SEC#: 801-110012

RIA

Registered Investment Advisory firm - (3/2/2017 Approved)

California

Registered Investment Advisory firm - (4/6/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/7/2017 Terminated)

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Contact information

Main Address

4701 Teller Ave, Newport Beach, CA 92660

Mailing Address

Phone number

+1 (800) 460-1595

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (2/26/2025)

WRAP FEE BROCHURE (2/26/2025)

Regulatory assets under management

Total Number of Accounts	1,245
AUM (Assets Under Management)	$ 296,285,231

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.

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Advisor Monitoring

Firm Stability Insights

Scott E. Breault

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BALANCED SECURITY PLANNING, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

TRUST ADVISORY GROUP LTD

AGES FINANCIAL SERVICES, LTD.

GLOBAL ATLANTIC DISTRIBUTORS, LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CONSECO EQUITY SALES, INC.

FUNDS DISTRIBUTOR, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

MIRAMONTES CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/19/2018

Series 63

Date: 7/11/1992

SIE

Date: 10/1/2018

Series 7

Date: 5/27/1997

Series 6

Date: 3/12/1992

Series 24

Date: 6/11/1997

Current Firm

MIRAMONTES CAPITAL, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MIRAMONTES CAPITAL, LLC

TRUST BUT VERIFY

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