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WB

William T. Breese

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CRD#: 2542710
WB

Professional summary

William Thomas Breese was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, William had worked at 5 firms, which includes INVESTMENT NETWORK INC., TRAUTMAN WASSERMAN & COMPANY INC., TOLUCA PACIFIC SECURITIES CORP., DICKINSON & CO., CHATFIELD DEAN & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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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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

March 27, 1996 - December 23, 1997

INVESTMENT NETWORK, INC.

BD
CRD#: 7685
FRANKLIN PARK, IL
Past

November 17, 1995 - January 9, 1996

TRAUTMAN WASSERMAN & COMPANY, INC.

BD
CRD#: 33007
NEW YORK, NY
Past

August 28, 1995 - December 14, 1995

TOLUCA PACIFIC SECURITIES CORP.

BD
CRD#: 13875
BURBANK, CA
Past

April 28, 1995 - July 3, 1995

DICKINSON & CO.

BD
CRD#: 689
DES MOINES, IA
Past

October 13, 1994 - December 5, 1994

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

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.

Exams

State Security Law Exam
RR
Series 63
Date: 10/17/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/12/1994
General Securities Representative Examination

Current Firm

IN
INVESTMENT NETWORK, INC.
INVESTMENT NETWORK, INC. | STOCKSERVICE CORP

CRD#: 7685 / SEC#: , 8-22231

BD
Terminated by SEC on 09/10/2000
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 10/20/1977
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CHARTER ONE FINANCIAL, INC.HOLDING COMPANY OF APPLICANT
KELLY, KEVIN BRIANPRINCIPAL2658650
KOCH, CHARLES JOHNDIRECTOR
KOCH, JOHN DAVIDDIRECTOR
MICIK, ALAN THOMASSROP-CROP / PRINCIPAL862914
NEU, RICHARD WILLIAMDIRECTOR
THOMPSON, ROBERT JOSEPH JRVICE PRESIDENT, FINOP2667325

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

INVESTMENT NETWORK, INC.

CRD#: 7685

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