Breton M. Kania
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Breton Michelle Kania, who also goes by Breton Kania, was a registered financial professional .
Breton is a previously registered financial professional and started their career in finance in 2013. Breton had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2017 - June 12, 2019
CAPITAL ONE ADVISORS, LLC
March 27, 2017 - June 12, 2019
CAPITAL ONE INVESTING, LLC
March 18, 2015 - March 29, 2016
USAA FINANCIAL PLANNING SERVICES
March 18, 2015 - March 29, 2016
USAA FINANCIAL ADVISORS, INC.
October 1, 2013 - February 24, 2015
EDWARD JONES
July 22, 2013 - February 24, 2015
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
Contact information
Documents
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.
