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WB

Walter O. Breuninger

HARBOR FUNDS DISTRIBUTORS
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 4934936
WB

Professional summary

Walter Otto Breuninger III, who also goes by Walt Breuninger III, Walt Breuninger, Walter Otto Breuninger, Walter Breuninger, is a registered financial professional currently at HARBOR FUNDS DISTRIBUTORS, INC. located in Boston, Massachusetts.

Walter is registered as a RR (Registered Representative) and started their career in finance in 2005. Walter has worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Walt Breuninger Iii | Walt Breuninger | Walter Otto Breuninger | Walter Breuninger

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) - BD

Click below to view Walter Otto Breuninger III'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®
None

Experience

Current

June 20, 2023 - Present

HARBOR FUNDS DISTRIBUTORS, INC.

Office #1: 33 Arch Street, Boston, MA 02110
BD
CRD#: 113506
BOSTON, MA
Past

August 29, 2019 - June 13, 2023

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA
Past

March 14, 2011 - August 27, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
OAKHURST, NJ
Past

September 13, 2006 - August 27, 2019

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
OAKHURST, NJ
Past

August 31, 2005 - March 2, 2006

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

May 24, 2005 - August 3, 2005

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

State Registrations and Notice Filings

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

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
Illinois
(6/20/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/11/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/27/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/23/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/10/2012
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/3/2012
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

HF
HARBOR FUNDS DISTRIBUTORS, INC.
BCA SECURITIES, INC. | HCA SECURITIES, INC. | HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506 / SEC#: , 8-53339

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606
Mailing Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606
Phone number
(312) 443-4420
Established
Delaware since 02/21/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HARBOR CAPITAL ADVISORS, INC.SHAREHOLDER
HALABY, JOHN STEVEPRESIDENT AND DIRECTOR2543904
KUNKEL, JACOB JEFFREYCHIEF FINANCIAL OFFICER AND TREASURER6108628
MCCAIN, CHARLES FREDERICKCHIEF EXECUTIVE OFFICER AND DIRECTOR4865638
NEE, STEPHANIE ANNCHIEF COMPLIANCE OFFICER4968097

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

HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506Boston, MA 02110

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