Thomas R. Breckenridge
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.
Thomas Robert Breckenridge, who also goes by Tom Breckenridge, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1978. Thomas had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2013 - December 19, 2018
ROSSI DUBUQUE BRECKENRIDGE, LLC
February 16, 2011 - December 31, 2012
ROSSI DUBUQUE BRECKENRIDGE, LLC
December 14, 1992 - January 20, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 18, 1989 - December 17, 1992
AEGIS INVESTMENTS, INC.
August 25, 1978 - June 6, 1989
DAIN RAUSCHER INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
ROSSI DUBUQUE BRECKENRIDGE, LLC
CRD#: 155284 / SEC#:
Contact information
Red Flags
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