Bree C. Cota

MISSIONSQUARE RETIREMENT

Big Moose Township, ME

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CRD#: 4613248

Professional summary

Bree Clements Cota, who also goes by Brenda F Clements, Brenda Faye Clements, Brenda C Cota, Brenda F Hardy, is a registered financial advisor currently at MISSIONSQUARE RETIREMENT located in Big Moose Township, Maine and MISSIONSQUARE INVESTMENT SERVICES located in Washington, District Of Columbia.

Bree is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Bree has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brenda F Clements | Brenda Faye Clements | Brenda C Cota | Brenda F Hardy

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.

Name: Mahogany Ridge, LLC. Non-investment related. Nature of Business: Potential future rental property. Address: 17 Woods & Water Way, Big Moose TWP, ME 04442 / PO Box 332 Greenville Junction, ME 04442. Position: Member. Start Date: 1/1/2024. Number of hours per month devoted to other business 0; during securities trading hours 0. Duties: Anticipate administrative.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bree Clements Cota'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

January 20, 2016 - Present

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

Big Moose Township, ME

Current

February 26, 2016 - Present

MISSIONSQUARE INVESTMENT SERVICES

Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240

CRD#: 23189

Washington, DC

Past

July 16, 2012 - November 23, 2015

GUIDANCE POINT RETIREMENT SERVICES, LLC

RIA

CRD#: 161000

PORTLAND, ME

Past

July 15, 2012 - November 23, 2015

GUIDANCE POINT ADVISORS, LLC

RIA

CRD#: 148768

BANGOR, ME

Past

December 4, 2006 - March 22, 2012

LPL FINANCIAL LLC

CRD#: 6413

BANGOR, ME

Past

March 6, 2003 - June 8, 2006

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

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".

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 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.

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

IAR

Connecticut
(11/29/2024)

IAR

Delaware
(12/5/2024)

IAR

Maine
(1/20/2016)

Maine
(2/29/2016)

IAR

Maryland
(12/2/2024)

IAR

New Hampshire
(1/21/2016)

New Hampshire
(6/2/2016)

IAR

New Jersey
(11/29/2024)

IAR

New York
(11/29/2024)

IAR

Ohio
(11/29/2024)

IAR

Pennsylvania
(12/2/2024)

IAR

Rhode Island
(11/29/2024)

IAR

Vermont
(12/2/2024)

IAR

West Virginia
(12/3/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/2/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/30/2012

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/26/2016

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

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Contact information

Main Address

777 North Capitol Street Ne, Suite 600, Washington, DC 20002-4240

Mailing Address

Phone number

(202) 962-4600

Established

Firm type

Fiscal year end

# of Employees

599

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GUIDED PATHWAYS ADVISORY SERVICES (10/30/2025)

INSURANCE CONTRACT SEPARATE ACCOUNT ADVISORY SERVICES (3/31/2025)

INSTITUTIONAL ASSET ALLOCATION ADVISORY SERVICES (3/31/2025)

Regulatory assets under management

Total Number of Accounts	58,580
AUM (Assets Under Management)	$ 5,959,398,729

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/27/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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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Bree C. Cota

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bree Clements Cota's CRS (Customer Relationship Summary).

Certified licenses

Experience

MISSIONSQUARE INVESTMENT SERVICES

GUIDANCE POINT RETIREMENT SERVICES, LLC

GUIDANCE POINT ADVISORS, LLC

LPL FINANCIAL LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

MISSIONSQUARE RETIREMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 6/2/2016

Series 65

Date: 6/30/2012

SIE

Date: 10/1/2018

Series 6

Date: 2/26/2016

FINRA

Current Firm

MISSIONSQUARE RETIREMENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MISSIONSQUARE RETIREMENT

TRUST BUT VERIFY

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