Brian J. Breen

BREEN WEALTH MANAGEMENT

Petaluma, CA 94952

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CRD#: 4731645

Professional summary

Brian Jeffery Breen, CFP®, who also goes by Brian Jeffrey Breen, is a registered financial advisor currently at BREEN WEALTH MANAGEMENT, LLC located in Petaluma, California.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Brian has worked at 10 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Jeffrey Breen

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.

1. PETALUMA EDUCATIONAL FOUNDATION, INVESTMENT RELATED, 200 DOUGLAS ST., PETALUMA CA 94952, INVESTMENT MANAGEMENT OVERSIGHT, COMMITTEE MEMBER FOR THE INVESTMENT COMMITTEE AND BOARD MEMBER, 2010, 3HRS/MTH, 0 HRS DURING TRADING. 2. EVIDENCE BASED RIA LLC. NON-INVESTMENT RELATED. 200 KENTUCKY ST., 2ND FLOOR SUITE D. PETALUMA, CA 94952. BUSINESS CONSULTING/COACHING. OWNER. 04/2025. 10 HRS/MTH, 0 HRS/TRADING HRS. ASSIST RIA OWNERS WITH CONSULTING and COACHING WORK REGARDING THEIR PRACTICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Jeffery Breen'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®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

February 22, 2017 - Present

BREEN WEALTH MANAGEMENT, LLC

Office #1: 200 Kentucky St. 2nd Floor Suite C, Petaluma, CA 94952

RIA

CRD#: 286513

Petaluma, CA

Past

January 6, 2014 - February 27, 2017

JACOBSON & BREEN WEALTH MANAGEMENT, LLC

RIA

CRD#: 169401

PETALUMA, CA

Past

September 25, 2009 - January 6, 2014

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

PETALUMA, CA

Past

September 15, 2009 - January 6, 2014

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

PETALUMA, CA

Past

February 1, 2007 - September 17, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CORTE MADERA, CA

Past

February 1, 2007 - September 17, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CORTE MADERA, CA

Past

February 17, 2005 - February 1, 2007

ATLAS SECURITIES, LLC

CRD#: 20991

CORTE MADERA, CA

Past

October 23, 2004 - February 23, 2005

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

SANTA ROSA, CA

Past

March 29, 2004 - February 23, 2005

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

March 29, 2004 - February 23, 2005

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

March 5, 2004 - March 29, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

WALNUT CREEK, CA

Past

February 6, 2004 - March 29, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 6, 2004 - March 29, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

BREEN WEALTH MANAGEMENT, LLC

CRD#: 286513 / SEC#: 801-112749

RIA

Registered Investment Advisory firm - (4/2/2018 Approved)

California

Registered Investment Advisory firm - (5/6/2018 Terminated)

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).

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

California
(2/22/2017)

IAR

Texas
(4/2/2018)

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: 3/4/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/5/2004

General Securities Representative Examination

Current Firm

BREEN WEALTH MANAGEMENT, LLC

CRD#: 286513 / SEC#: 801-112749

RIA

Registered Investment Advisory firm - (4/2/2018 Approved)

California

Registered Investment Advisory firm - (5/6/2018 Terminated)

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Contact information

Main Address

200 Kentucky St. 2nd Floor Suite C, Petaluma, CA 94952

Mailing Address

Phone number

(707) 595-6556

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BREEN WEALTH MANAGEMENT, LLC FORM ADV 2A (1/23/2025)

Regulatory assets under management

Total Number of Accounts	569
AUM (Assets Under Management)	$ 272,806,485

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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Firm Stability Insights

Brian J. Breen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Jeffery Breen's CRS (Customer Relationship Summary).

Certified licenses

Experience

JACOBSON & BREEN WEALTH MANAGEMENT, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

ATLAS SECURITIES, LLC

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

BREEN WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/4/2004

Series 7

Date: 2/5/2004

Current Firm

BREEN WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BREEN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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