Richard Carlisle Breitenecker

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-12-18
IL	RA	APPROVED	2024-12-09

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Jonestrading	Chicago	IL	05/2009	08/2017
Mkm Partners Llc	Stamford	CT	09/2017	06/2019
Stonex Financial Inc.	Chicago	IL	07/2019	11/2023
Stonex Group Inc.	New York	NY	07/2019	11/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chicago	IL	11/2024	Present
Gap In Employment	Chicago	IL	11/2023	11/2024
Bank Of America, N.A.	Chicago	IL	01/2025	Present

05/2009 → 08/2017

Jonestrading

Chicago, IL
09/2017 → 06/2019

Mkm Partners Llc

Stamford, CT
07/2019 → 11/2023

Stonex Financial Inc.

Chicago, IL
07/2019 → 11/2023

Stonex Group Inc.

New York, NY
11/2024 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL
11/2023 → 11/2024

Gap In Employment

Chicago, IL
01/2025 → Present

Bank Of America, N.A.

Chicago, IL

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-09-27
S63	Uniform Securities Agent State Law Examination	1997-10-02

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