Alison S. Breward
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.
Alison Stryker Breward was a registered financial professional .
Alison is a previously registered financial professional and started their career in finance in 1999. Alison had worked at 5 firms and has passed the SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2013 - July 8, 2019
FRANKLIN DISTRIBUTORS, LLC
June 1, 2009 - July 31, 2013
MORGAN STANLEY
April 9, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 3, 2007 - April 4, 2007
MORGAN STANLEY DW INC.
April 19, 1999 - December 15, 2005
CITIGROUP GLOBAL MARKETS INC.
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
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
