Walter C. Breakell

MARWOOD GROUP

New York, NY 10017

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CRD#: 5574128

Professional summary

Walter Calvin Breakell is a registered financial advisor currently at MARWOOD GROUP located in New York, New York.

Walter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Walter has worked at 2 firms and has passed the Series 65, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Walter Calvin Breakell's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Walter Calvin Breakell'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

April 7, 2009 - Present

MARWOOD GROUP

Office #1: 733 Third Avenue 11th Floor, New York, NY 10017Office #2: 733 Third Avenue 11th Floor, New York, NY 10017

RIA

CRD#: 117015

New York, NY

Current

August 19, 2008 - Present

MARWOOD GROUP

Office #1: 733 Third Avenue 11th Floor, New York, NY 10017Office #2: 733 Third Avenue 11th Floor, New York, NY 10017

RIA

CRD#: 117015

New York, NY

Past

April 7, 2009 - December 31, 2021

MARWOOD GROUP RESEARCH

RIA

CRD#: 147316

NEW YORK, NY

Past

February 11, 2009 - December 31, 2021

MARWOOD GROUP RESEARCH

CRD#: 147316

NEW YORK, NY

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

New York
(3/13/2021)

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 65

Date: 4/6/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 4/4/2013

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 8/18/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/18/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MARWOOD GROUP

MARWOOD GROUP | MARWOOD GROUP LLC | MARWOOD GROUP ASSET MANAGEMENT LLC

CRD#: 117015 / SEC#: , 8-53573

Connecticut

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (5/14/2004 Approved)

Illinois

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

New York

Registered Investment Advisory firm - SEC (12/2/2003 Approved)

Oregon

Registered Investment Advisory firm - SEC (12/31/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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).

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Contact information

Main Address

733 Third Avenue 11th Floor, New York, NY 10017

Mailing Address

733 Third Avenue 11th Floor, New York, NY 10017

Phone number

(212) 532-3651

Established

New York since 06/06/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (4 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MARWOOD GROUP & CO USA LLC	SHAREHOLDER
BEATON, DANIEL STEWART	FINOP	4240769
MODZELEWSKI, THOMAS JUDE	COO & CCO	4570850
MOORE, JOHN THOMAS JR	CEO	1931756

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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Walter C. Breakell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter Calvin Breakell's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Walter Calvin Breakell's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARWOOD GROUP

MARWOOD GROUP RESEARCH

MARWOOD GROUP RESEARCH

State Registrations and Notice Filings

Exams

Series 65

Date: 4/6/2009

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 79

Date: 4/4/2013

Series 7

Date: 8/18/2008

Series 24

Date: 12/18/2008

FINRA

Current Firm

MARWOOD GROUP

Contact information

FINRA licenses (4 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

MARWOOD GROUP

TRUST BUT VERIFY

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