Brian C. Breidenbach

BREIDENBACH CAPITAL CONSULTING

CHARLESTOWN, IN

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CRD#: 4366389

Professional summary

Brian Chester Breidenbach is a registered financial advisor currently at BREIDENBACH CAPITAL CONSULTING, LLC located in Charlestown, Indiana.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Brian has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Chester Breidenbach's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 14, 2003 - Present

BREIDENBACH CAPITAL CONSULTING, LLC

RIA

CRD#: 125405

CHARLESTOWN, IN

Past

April 11, 2002 - October 25, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LOUISVILLE, KY

Past

May 10, 2001 - October 25, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(3/14/2003)

IAR

Kentucky
(5/19/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/31/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 5/9/2001

General Securities Representative Examination

Current Firm

BREIDENBACH CAPITAL CONSULTING, LLC

BREIDENBACH CAPITAL CONSULTING, LLC | BREIDENBACK CAPITAL CONSULTING, LLC

CRD#: 125405 / SEC#: 801-118666

RIA

Registered Investment Advisory firm - (11/17/2023 Terminated)

Indiana

Registered Investment Advisory firm - (5/19/2023 Approved)

Kentucky

Registered Investment Advisory firm - (11/14/2023 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Charlestonwn, IN

Mailing Address

101 North 7th Street, Louisville, KY 40202

Phone number

(502) 561-3411

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	86
AUM (Assets Under Management)	$ 55,644,159

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.

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Brian C. Breidenbach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Chester Breidenbach's CRS (Customer Relationship Summary).

Certified licenses

Experience

BREIDENBACH CAPITAL CONSULTING, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 5/31/2001

Series 7

Date: 5/9/2001

Current Firm

BREIDENBACH CAPITAL CONSULTING, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BREIDENBACH CAPITAL CONSULTING, LLC

TRUST BUT VERIFY

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