Breana M. Hirose

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT

Stamford, CT 06902

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CRD#: 6213774

Professional summary

Breana Marie Hirose, who also goes by Breana Marie O'brien, Breana Marie Obrien, is a registered financial advisor currently at GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC located in Stamford, Connecticut and GUGGENHEIM INVESTOR SERVICES, LLC located in Stamford, Connecticut.

Breana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Breana has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Breana Marie O'brien | Breana Marie Obrien

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 Breana Marie Hirose'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®

None

Experience

Current

November 30, 2023 - Present

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

Office #1: 100 First Stamford Place, Stamford, CT 06902

RIA

CRD#: 137432

Stamford, CT

Current

November 29, 2023 - Present

GUGGENHEIM INVESTOR SERVICES, LLC

Office #1: 100 First Stamford Place Suite 610, Stamford, CT 06902

CRD#: 30096

Stamford, CT

Past

December 14, 2020 - October 19, 2023

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW YORK, NY

Past

June 18, 2020 - July 1, 2022

CITI PRIVATE ALTERNATIVES, LLC

CRD#: 153777

Boston, MA

Past

July 23, 2015 - October 19, 2023

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

CRD#: 137432 / SEC#: 801-66786

RIA

Registered Investment Advisory firm - (6/14/2006 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.

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

Connecticut
(11/29/2023)

IAR

Connecticut
(11/30/2023)

New York
(11/29/2023)

IAR

New York
(12/3/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/14/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/6/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/23/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

CRD#: 137432 / SEC#: 801-66786

RIA

Registered Investment Advisory firm - (6/14/2006 Approved)

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Contact information

Main Address

330 Madison Avenue 10th Floor, New York, NY 10017

Mailing Address

Phone number

(212) 739-0700

Established

Firm type

Fiscal year end

# of Employees

575

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC BROCHURE (6/5/2025)

Regulatory assets under management

Total Number of Accounts	232
AUM (Assets Under Management)	$ 228,739,114,272

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

Breana M. Hirose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Breana Marie Hirose's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUGGENHEIM INVESTOR SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITI PRIVATE ALTERNATIVES, LLC

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/2020

Series 63

Date: 8/6/2015

SIE

Date: 10/1/2018

Series 7

Date: 7/23/2015

FINRA

Current Firm

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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