Michael D. Breard
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.
Michael Douglas Breard, who also goes by Mike Breard, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1972. Michael had worked at 11 firms and has passed the Series 63, SIE, Series 87, PC, Series 16, Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2007 - January 18, 2019
FIRST DALLAS SECURITIES INCORPORATED
October 17, 2005 - April 17, 2007
SAMCO CAPITAL MARKETS, INC.
April 18, 2005 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
September 7, 1989 - April 18, 2005
DOMINICK & DICKERMAN LLC
August 25, 1989 - September 23, 1989
PRUDENTIAL EQUITY GROUP, LLC
September 20, 1988 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
October 21, 1987 - October 3, 1988
BIRR WILSON, INC.
April 16, 1986 - April 2, 1987
BIRR WILSON, INC.
December 16, 1980 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
November 17, 1980 - February 26, 1986
THOMSON MCKINNON SECURITIES INC.
January 16, 1974 - December 5, 1980
PRINCIPAL FINANCIAL SECURITIES,INC.
March 9, 1973 - February 7, 1974
MCCLENNAHAN SECURITIES CORP
August 22, 1972 - April 8, 1973
INSTITUTIONAL EQUITY CORPORATION
Primary Firm SEC Registration
FIRST DALLAS SECURITIES INCORPORATED
CRD#: 24549 / SEC#: 801-66208, 8-41231
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 3/6/1989
AMEX Put and Call ExamSeries 000
Date: 8/15/1972
General Securities Principal ExaminationSeries 1
Date: 8/15/1972
Registered Representative ExaminationCurrent Firm
FIRST DALLAS SECURITIES INCORPORATED
CRD#: 24549 / SEC#: 801-66208, 8-41231
Contact information
SEC notice filing (11 States and Territories)
FINRA licenses (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 266 |
| AUM (Assets Under Management) | $ 335,711,026 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
