BP
Breanne N. Polonia
KESTRA PRIVATE WEALTH SERVICES
Plano, TX 75024
Some features on this profile are disabled
CRD#: 4417531
BP
Professional summary
Breanne Nicole Polonia, who also goes by Breanne Nicole Morgan, Breanne Polonia, Breezy Polonia, is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Plano, Texas and KESTRA INVESTMENT SERVICES, LLC located in Plano, Texas.
Breanne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Breanne has worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 7TO and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Breanne Nicole Morgan | Breanne Polonia | Breezy Polonia
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.
CRS (Client Relationship Summary) - RIA
Click below to view Breanne Nicole Polonia's 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®
NoneExperience
Current
September 27, 2024 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: 5801 Headquarters Suite 100, Plano, TX 75024RIA
CRD#: 155193
Plano, TX
Current
September 6, 2025 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5801 Headquarters Dr. Suite 100, Plano, TX 75024BD
CRD#: 42046
Plano, TX
Past
March 12, 2024 - September 27, 2024
DIVERSIFY WEALTH MANAGEMENT, LLC
RIA
CRD#: 329878
DALLAS, TX
Past
December 7, 2023 - September 27, 2024
DIVERSIFY ADVISORY SERVICES, LLC
RIA
CRD#: 326060
DALLAS, TX
Past
December 1, 2022 - January 2, 2024
DFPG INVESTMENTS, LLC
RIA
CRD#: 155576
Prosper, TX
Past
January 16, 2020 - December 12, 2022
SUREVEST PRIVATE WEALTH
RIA
CRD#: 306872
Prosper, TX
Past
September 10, 2018 - February 7, 2020
SUREVEST WEALTH MANAGEMENT
RIA
CRD#: 122369
San Diego, CA
Past
January 30, 2013 - September 11, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SAN DIEGO, CA
Past
January 28, 2013 - September 11, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SAN DIEGO, CA
Past
July 17, 2007 - January 31, 2013
EDWARD JONES
RIA
CRD#: 250
DEL MAR, CA
Past
June 7, 2007 - January 31, 2013
EDWARD JONES
BD
CRD#: 250
DEL MAR, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/30/2025)
RR
Arkansas(10/30/2025)
RR
California(10/29/2025)
RR
Florida(10/30/2025)
RR
Oregon(11/4/2025)
RR
Pennsylvania(10/30/2025)
RR
South Dakota(10/30/2025)
IAR
Texas(9/27/2024)
RR
Texas(10/27/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/18/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 Approved)PREMIUM
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
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.
Company Information
KESTRA PRIVATE WEALTH SERVICES, LLC
CRD#: 155193Plano, TX 75024TRUST BUT VERIFY
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