Richard L. Breyley
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 Lee Breyley was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1971. Richard had worked at 8 firms and has passed the Series 63, SIE, Series 7, 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
January 10, 2013 - April 13, 2015
BCG SECURITIES, INC.
June 26, 2002 - January 16, 2013
OSAIC FS, INC.
October 21, 1991 - January 16, 2013
OSAIC FS, INC.
September 3, 1991 - March 30, 1992
UNUM SALES CORPORATION
October 17, 1988 - October 29, 1991
MONACO SECURITIES, INC.
July 13, 1988 - November 3, 1988
CAPITAL STRATEGIES LIMITED
March 16, 1987 - June 20, 1988
SOUTH SHORE SECURITIES, INC.
February 21, 1985 - March 3, 1987
OSAIC FS, INC.
January 2, 1973 - January 5, 1978
PENNSYLVANIA SECURITIES COMPANY
August 4, 1971 - February 11, 1973
PENNSYLVANIA EQUITIES CORPORATION
March 4, 1971 - September 2, 1971
PENNSYLVANIA SECURITIES COMPANY
Primary Firm SEC Registration
BCG SECURITIES, INC.
CRD#: 70 / SEC#: 801-56943, 8-12680
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: 3/1/1971
Registered Representative ExaminationCurrent Firm
BCG SECURITIES, INC.
CRD#: 70 / SEC#: 801-56943, 8-12680
Contact information
SEC notice filing (45 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,900 |
| AUM (Assets Under Management) | $ 740,027,520 |
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.
