Richard A. Breyer
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.
Richard Alan Breyer was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 23 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2014 - December 31, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 2, 2014 - December 31, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 23, 2013 - October 25, 2013
INDEPENDENT FINANCIAL GROUP, LLC
August 19, 2008 - September 23, 2013
CETERA INVESTMENT SERVICES LLC
March 17, 2008 - September 23, 2013
CETERA INVESTMENT SERVICES LLC
November 14, 2005 - March 26, 2008
ALLSTATE FINANCIAL SERVICES, LLC
July 1, 2003 - August 9, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 26, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 19, 1999 - October 4, 2001
MML INVESTORS SERVICES, LLC
October 14, 1998 - March 4, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 14, 1998 - March 4, 1999
OSAIC FA, INC.
November 4, 1997 - October 28, 1998
THE ADVISORS GROUP, INC.
September 25, 1995 - November 6, 1997
EQUITY SERVICES, INC.
December 12, 1994 - August 18, 1995
OSAIC FS, INC.
February 1, 1993 - November 23, 1994
SIMMONS & BISHOP CO. INC.
April 8, 1992 - February 4, 1993
GAINEY FINANCIAL SERVICES, INC.
November 14, 1991 - April 1, 1992
WALNUT STREET SECURITIES, INC.
November 19, 1989 - March 27, 1990
OSAIC WEALTH, INC.
March 31, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
January 3, 1983 - May 4, 1988
CONSECO FINANCIAL SERVICES, INC.
July 23, 1973 - November 5, 1986
ILG SECURITIES CORPORATION
July 21, 1972 - August 2, 1973
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
July 21, 1972 - August 2, 1973
NORTH STAR EQUITIES COMPANY
April 14, 1970 - September 8, 1972
GIRARD INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
Series 1
Date: 4/6/1970
Registered Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
