Brian H. Breuel
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.
Brian Harold Breuel was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1975. Brian had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2011 - July 1, 2016
NATIONAL PLANNING CORPORATION
February 18, 2011 - July 1, 2016
NATIONAL PLANNING CORPORATION
June 21, 2002 - February 11, 2011
QA3 FINANCIAL LLC
March 10, 2000 - February 11, 2011
QA3 FINANCIAL CORP.
June 14, 1995 - March 10, 2000
EDWARD JONES
July 30, 1992 - October 27, 1993
NELSON IVEST BROKERAGE SERVICES, INC.
September 22, 1986 - February 6, 1990
KEYPORT FINANCIAL SERVICES CORP.
May 24, 1984 - June 24, 1986
ROYAL HUTTON SECURITIES CORP.
September 20, 1982 - February 14, 1984
FRANK N. SCOTT SECURITIES INC.
December 17, 1979 - November 10, 1982
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
October 15, 1975 - July 26, 1984
G. R. PHELPS & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 10/9/1975
Registered Representative ExaminationCurrent Firm
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
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.
