KB
Kevin M. Breen
QUASAR DISTRIBUTORS
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 2819493
KB
Professional summary
Kevin Michael Breen, who also goes by Kevin M Breen, is a registered financial professional currently at QUASAR DISTRIBUTORS, LLC located in Minneapolis, Minnesota.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1996. Kevin has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kevin M 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.
CRS (Client Relationship Summary) - BD
Click below to view Kevin Michael Breen's 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®
NoneExperience
Current
March 4, 2019 - Present
QUASAR DISTRIBUTORS, LLC
Office #1: 800 Nicollet Mall, Minneapolis, MN 55402Office #2: 214 N. Tryon Street 27th Floor, Charlotte, NC, 28202BD
CRD#: 103848
Minneapolis, MN
Past
November 15, 2010 - July 19, 2011
MORGAN STANLEY
RIA
CRD#: 149777
CHARLOTTE, NC
Past
September 2, 2010 - July 19, 2011
MORGAN STANLEY
BD
CRD#: 149777
CHARLOTTE, NC
Past
October 1, 2000 - March 1, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
December 21, 1996 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
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
Alabama(3/22/2019)
RR
Alaska(3/22/2019)
RR
Arizona(4/2/2019)
RR
Arkansas(3/22/2019)
RR
California(3/22/2019)
RR
Colorado(3/4/2019)
RR
Connecticut(3/6/2019)
RR
Delaware(3/22/2019)
RR
District of Columbia(3/4/2019)
RR
Florida(3/4/2019)
RR
Georgia(3/22/2019)
RR
Hawaii(3/22/2019)
RR
Idaho(3/4/2019)
RR
Illinois(3/22/2019)
RR
Indiana(3/22/2019)
RR
Iowa(3/22/2019)
RR
Kansas(3/22/2019)
RR
Kentucky(3/22/2019)
RR
Louisiana(3/4/2019)
RR
Maine(3/5/2019)
RR
Maryland(3/4/2019)
RR
Massachusetts(3/22/2019)
RR
Michigan(3/22/2019)
RR
Minnesota(3/22/2019)
RR
Mississippi(3/22/2019)
RR
Missouri(3/22/2019)
RR
Montana(3/22/2019)
RR
Nebraska(3/22/2019)
RR
Nevada(3/22/2019)
RR
New Hampshire(3/22/2019)
RR
New Jersey(3/22/2019)
RR
New Mexico(3/22/2019)
RR
New York(3/22/2019)
RR
North Carolina(3/22/2019)
RR
North Dakota(3/22/2019)
RR
Ohio(3/4/2019)
RR
Oklahoma(3/22/2019)
RR
Oregon(3/22/2019)
RR
Pennsylvania(3/22/2019)
RR
Puerto Rico(3/4/2019)
RR
Rhode Island(3/22/2019)
RR
South Carolina(3/22/2019)
RR
South Dakota(3/22/2019)
RR
Tennessee(2/7/2024)
RR
Texas(3/22/2019)
RR
Utah(3/22/2019)
RR
Vermont(3/22/2019)
RR
Virgin Islands(3/22/2019)
RR
Virginia(3/22/2019)
RR
Washington(3/22/2019)
RR
West Virginia(3/22/2019)
RR
Wisconsin(3/22/2019)
RR
Wyoming(3/22/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/4/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
QD
QUASAR DISTRIBUTORS, LLC
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/21/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
