Ronald Clifford Breault
Professional Summary
Ronald Clifford Breault is a registered financial advisor currently at ABN AMRO CLEARING USA LLC located in Chicago, Illinois. Ronald is registered as a RR (Registered Representative) and started their career in finance in 1993. Ronald has worked at 2 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 24, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
ABN AMRO CLEARING CHICAGO LLC | SHAMROCK SECURITIES | SHAMROCK OPTIONS | SHAMROCK EQUITY SECURITIES | O'CONNOR & COMPANY LLC | O'CONNOR & COMPANY | FORTIS CLEARING AMERICAS LLC | ABN AMRO CLEARING USA LLC
Contact Information
Main Address
175 West Jackson Blvd Ste 2050, Chicago, IL 60604Mailing Address
175 West Jackson Blvd Ste 2050, Chicago, IL 60604Phone Number
(312) 604-8000Established
Illinois since 06/30/1997Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ABN AMRO CLEARING HOLDINGS USA LLC | SHAREHOLDER | — |
| BREAULT, RONALD CLIFFORD | NY BRANCH OFFICE MANAGER | 2253143 |
| BREAULT, RONALD CLIFFORD | CHIEF COMMERCIAL OFFICER | 2253143 |
| DELHEIMER, MICHAEL FRANCIS | VP FINANCE, FINOP, PRINCIPAL FINANCIAL OFFICER | 5567195 |
| ENGELBERTS, PAULINE MATHILDE | DIRECTOR, BOARD MEMBER | 7350692 |
| GILMORE, KEVIN MICHAEL | PRINCIPAL OPERATIONS OFFICER | 3150898 |
| ONEILL, YULIA V | CHICAGO BRANCH OFFICE MANAGER, ROP | 6313470 |
| POOLER, ROBERT E | INTERIM CHIEF EXECUTIVE OFFICER | 2817263 |
| POOLER, ROBERT E | PRINCIPAL OPERATIONS OFFICER | 2817263 |
| RODRIGUEZ, SHERI LYNN | CHIEF OPERATIONS OFFICER | 4951958 |
| SCHELLENS, RUTGER VINCENT CONSTANTIJN | DIRECTOR | 6268503 |
| TAYLOR, TIMOTHY JAMES | PRINCIPAL OPERATIONS OFFICER | 1640795 |
| TYRICHTROVA, MONIKA ALEXANDRA | CHIEF COMPLIANCE OFFICER | 4487708 |
Disclosures
Regulatory Event
82Civil Event
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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.
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State Registrations and Notice Filings
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(11/19/1997)
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Apr 2000Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Dec 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2002About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Ronald Clifford Breault's CRS (Customer Relationship Summary).
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