Colin J. Breen
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.
Colin John Breen was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 1983. Colin had worked at 6 firms and has passed the Series 3, Series 18, Series 7, Series 4, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 1990 - March 22, 1991
ADAMS SECURITIES, INC.
April 5, 1988 - June 25, 1990
EURO-ATLANTIC SECURITIES INC.
November 25, 1987 - April 13, 1988
CARNES CAPITAL CORPORATION
February 13, 1987 - November 2, 1987
MACPEG, ROSS, O'CONNELL & GOLDABER, INC.
November 9, 1984 - May 12, 1986
NATIONAL INVESTMENT CORPORATION OF NAPLES, INC.
June 29, 1983 - May 14, 1984
UBS FINANCIAL SERVICES 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 18
Date: 8/20/1983
Securities Industry Rules and Regulations ExaminationCurrent Firm
ADAMS SECURITIES, INC.
CRD#: 16688 / SEC#: , 8-36609
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.
