RB
Richard K. Breen
BANKERS LIFE ADVISORY SERVICES
CHARLOTTE, NC 28226
Some features on this profile are disabled
CRD#: 5032617
RB
Professional summary
Richard K Breen, who also goes by Richard Kevin Breen, is a registered financial advisor currently at BANKERS LIFE ADVISORY SERVICES, INC. located in Charlotte, North Carolina and BANKERS LIFE SECURITIES, INC. located in Charlotte, North Carolina.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Richard has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Kevin 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.
BANKERS LIFE AND CASUALTY POSITION: UNIT SALES MANAGER NATURE: NON VARIABLE INSURANCE INVESTMENT RELATED: NO HOURS: 20 INVESTMENT RELATED HOURS: 15 START DATE: 01/01/2004 ADDRESS: 10706 SIKES PLACE, SUITE 300, CHARLOTTE, NC 28277 DESCRIPTION: MANAGE A TEAM OF AGENTS, RESPONSIBLE FOR HIRING AND TRAINING OF AGENTS, I am also appointed with KFA through BLC which allows agents to write business for Medicare Supplement, Annuity and Equity Indexed annuity insurance products, life insurance, health and LTC. RENTAL PROPERTY OWNER POSITION: OWNER NATURE: CONDO RENTAL INVESTMENT RELATED: NO NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 0 START DATE: 05/20/2009 ADDRESS: 405 W 7TH ST, CHARLOTTE NC 28202 DESCRIPTION: 1/3 OWNER OF A RENTAL PROPERTY. INVOLVED IN MINIMAL INTERACTION WITH THE TENANTS. CENTRAL PSYCH PROPERTIES, LLC POSITION: general partner NATURE: Central Psych Properties, LLC owns a rental property that has one tenant (Central Psych Charlotte). I am a passive investor in CPP, LLC. I have no management duties. My ownership % is 25%. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2021 ADDRESS: 1816 e. 7th st, charlotte NC 28204, United States DESCRIPTION: passive investor in real estate as a partner in Central Psych Properties LLC. This LLC owns a rental property that I do not personally manage. FULL SEND PROPERTIES, LLC POSITION: general partner NATURE: the LLC was created and registered to transfer rental property into, for the purpose of reducing personal liability associated with tenants, etc. No properties have been placed into this LLC however as of the date of this attestation, 3/30/21. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/09/2020 ADDRESS: 2700 High Ridge Rd, Charlotte NC 28270, United States DESCRIPTION: the LLC was filed so that it could be used in the future to transfer rental property into (for liability mitigation) but does not currently own any properties as of the time of this attestation 3/30/21. RENTAL PROPERTIES POSITION: passive investor NATURE: rental property owner, passive real estate investor INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2003 ADDRESS: various properties, charlotte and other cities NC 28202, United States DESCRIPTION: passive investor in real estate. not an active business, requires very minimal time each month.
CRS (Client Relationship Summary) - RIA
Click below to view Richard K Breen'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
July 1, 2016 - Present
BANKERS LIFE ADVISORY SERVICES, INC.
Office #1: 10706 Sikes Place Ste 300, Charlotte, NC 28226RIA
CRD#: 281285
CHARLOTTE, NC
Current
May 26, 2016 - Present
BANKERS LIFE SECURITIES, INC.
Office #1: 10706 Sikes Place Suite 300, Charlotte, NC 28277BD
CRD#: 173962
Charlotte, NC
Past
October 1, 2013 - May 27, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
CHARLOTTE, NC
Past
June 16, 2010 - May 26, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
CHARLOTTE, NC
Past
June 28, 2006 - May 28, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
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".
BL
BANKERS LIFE ADVISORY SERVICES, INC.
BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
RIA
Registered Investment Advisory firm - (11/18/2015 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
Alabama(5/26/2016)
RR
Arizona(5/26/2016)
RR
California(5/26/2016)
RR
Colorado(5/26/2016)
RR
Connecticut(5/26/2016)
RR
Delaware(5/26/2016)
RR
District of Columbia(5/26/2016)
RR
Florida(5/27/2016)
RR
Georgia(5/26/2016)
RR
Illinois(5/26/2016)
RR
Iowa(1/7/2025)
RR
Kentucky(6/26/2018)
RR
Louisiana(5/26/2016)
RR
Maryland(5/26/2016)
RR
Michigan(5/26/2016)
RR
Montana(5/26/2016)
RR
Nebraska(5/26/2016)
RR
New Hampshire(10/7/2019)
RR
New Jersey(5/26/2016)
RR
New York(5/26/2016)
RR
North Carolina(5/26/2016)
IAR
North Carolina(7/1/2016)
RR
Ohio(5/26/2016)
RR
Oregon(2/9/2021)
RR
Pennsylvania(5/26/2016)
RR
Puerto Rico(5/17/2024)
RR
South Carolina(5/26/2016)
RR
South Dakota(5/26/2016)
RR
Tennessee(2/2/2018)
RR
Texas(5/26/2016)
RR
Virginia(5/26/2016)
RR
Washington(1/7/2025)
RR
West Virginia(1/7/2025)
RR
Wisconsin(5/26/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BL
BANKERS LIFE ADVISORY SERVICES, INC.
BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
RIA
Registered Investment Advisory firm - (11/18/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
303 E. Wacker Drive 5th Fl, Chicago, IL 60601
Mailing Address
Phone number
(844) 553-9083
Established
Firm type
Fiscal year end
# of Employees
384
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
