Kathleen A. Breen

TRUIST ADVISORY SERVICES

FORT WORTH, TX 76109

Some features on this profile are disabled

CRD#: 2198132

Professional summary

Kathleen Anne Breen, who also goes by Kathleen A Gist, Kathleen Anne Quigley, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Fort Worth, Texas and TRUIST INVESTMENT SERVICES, INC. located in Fort Worth, Texas.

Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Kathleen has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathleen A Gist | Kathleen Anne Quigley

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 STEPHEN BREEN MEMORIAL FOUNDATION POSITION: Co-Founder / Secretary NATURE: I am Co-Founder and Secretary of memorial foundation established in memory of our son, Stephen, who passed in 2004 from cancer. The foundation has 2 missions, provide financial assistance to children in Diocese of Fort Worth looking for a Catholic education and give financial assistance to families who children are afflicted with cancer. We regularly support Ronald McDonald House, Cook Children Hospital and Make a Wish. We are active in the community. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/04/2004 ADDRESS: 1940 Warner Road, Fort Worth TX 76110 CRESTED BUTTE RENTAL POSITION: owner NATURE: We plan to use this company to manage our Mount Crested Butte condo as a rental unit. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2025 ADDRESS: Mount Crested Butte CO, United States DESCRIPTION: No duties just income received from rental. KAB/JSB FL TRUST POSITION: NA NATURE: Created KAB/JSB FL Trust to hold a FL vacation home. We'll will use a property manager to maintain and rent the home. We will be 100% hands off. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/03/2025 ADDRESS: Fort Worth TX, United States DESCRIPTION: Owner of property.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Anne 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

February 17, 2021 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 5128 Apache Plume Rd, Fort Worth, TX 76109

RIA

CRD#: 283390

FORT WORTH, TX

Current

March 3, 2020 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 5128 Apache Plume Rd Ste 340, Fort Worth, TX 76109

CRD#: 7059

FT. WORTH, TX

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".

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Colorado
(6/30/2025)

Florida
(3/11/2021)

Massachusetts
(4/27/2021)

Texas
(2/17/2021)

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

303 Peachtree Street 2nd Floor, Atlanta, GA 30303

Mailing Address

Po Box 4418 Mc 107, Atlanta, GA 30302

Phone number

(800) 874-4770

Established

Firm type

Fiscal year end

# of Employees

2,469

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAS AMC WRAP MANAGED PROGRAMS BROCHURE (10/31/2025)

TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	124,363
AUM (Assets Under Management)	$ 67,736,740,585

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/24/2025	Cover Page	Report
03/28/2024	Cover Page	Report
04/26/2023	Cover Page	Report

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.

Similar Advisors

Sean Leonard

LPL FINANCIAL LLC

IAR

Hurst, TX

James Moore

EDWARD JONES

IAR

Ft Worth, TX

Robert Shannon

BRAZOS WEALTH ADVISORS LLC

IAR

FORT WORTH, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kathleen A. Breen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Anne Breen's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

MORGAN STANLEY

MORGAN STANLEY

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/31/2015

Series 63

Date: 9/2/1997

SIE

Date: 10/1/2018

Series 31

Date: 9/22/2010

Series 7

Date: 8/11/1997

Series 9

Date: 3/6/2007

Series 10

Date: 1/21/2007

FINRA

Current Firm

TRUIST ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRUIST ADVISORY SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors