Unclaimed Profile

James Thomas Breen

BREEN FINANCIAL CORPORATION·CHARLOTTE, North Carolina

Series 65Clean record24 years registeredBREEN FINANCIAL CORPORATION

13024 BALLANTYNE CORPORATE PLACE, CHARLOTTE, NC 28277CRD# 4480405Firm CRD# 116296

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Thomas Breen · CHARLOTTE, NC

Registration

CRD #4480405 · BREEN FINANCIAL CORPORATION · 24 years registered

Brand Profile

Not yet started

Career History

MERIT FINANCIAL ADVISORS

Jun 2025 – present

AMP WEALTH MANAGEMENT

Feb 2017 – Jul 2025

ATLANTA, GA

HORIZON INVESTMENTS LLC

Apr 2016 – Nov 2016

CHARLOTTE, NC

BREEN FINANCIAL CORPORATION

Jul 2002 – Mar 2015

CHARLOTTE, NC

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · July 26, 2002

Years registered · 24

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

BREEN FINANCIAL CORPORATION

CRD 116296 · SEC 801-60763

AUM

—

Regulatory assets under management

Employees

Total firm employees

Services offered by BREEN FINANCIAL CORPORATION

Per Form ADV

Portfolio management (individuals)

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

View all advisors at BREEN FINANCIAL CORPORATION →

Introduction

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Frequently Asked Questions

What services does James Thomas Breen offer?

James Thomas Breen specializes in Investment Management. Contact their office in CHARLOTTE, North Carolina for a consultation.

What are James Thomas Breen's credentials?

James Thomas Breen is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Thomas Breen located?

James Thomas Breen is based in CHARLOTTE, North Carolina, working with BREEN FINANCIAL CORPORATION. Their office serves clients in the CHARLOTTE metropolitan area and surrounding communities.

How does James Thomas Breen charge for services?

James Thomas Breen's firm is compensated through subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is BREEN FINANCIAL CORPORATION?

BREEN FINANCIAL CORPORATION has approximately 4 employees. The firm is registered with the SEC as an investment adviser.

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