Michael Joseph Breen

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/1999 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Mateo, CA
• 09/2009 → Present
  Bank Of America, N.A.
  San Mateo, CA

Other Businesses

I*38314 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: BREEN INVESTMENT PARTNERS INVESTMENT RELATED: Y ADDRESS OF BUSINESS: HILLSBOROUGH, CALIFORNIA 94010 NATURE OF BUSINESS: LIMITED PARTNERSHIP, POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 1/1/1999 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: FLP FORMED TO MANAGE BUSINESS AFFAIRS BETWEEN MYSELF, BROTHER, AND SISTER I*131824 For profit or not for profit: For-Profit Organization Name of outside business organization: Bodhi Tree LLC Address of business: Hillsborough, California 94010 Nature of business: LLC, Compensation for Activity: Position, title, association: Limited Partner, Start date of relationship: 6/1/2020 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: this is the expense account for Mike's property in Hawaii I*640242 For profit or not for profit: Entity For Profit Name of outside business organization: Kona Lokahi LLC Investment related: N Address of business: kailua Kona, Hawaii, 96740 Nature of business: ["Limited Liability Company"] Position, title, association: ["Owner"], Start date of relationship: 2/1/2022 Number of hours devoted: 1 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , splitting a boat with 3 friends that we are all using for personal/recreational use I*1280255 For profit or not for profit: Name of outside business organization: LSBuoy Investment related: N Address of business: OBA, OBA, OBA Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , None. Our property has access to a buoy in the lake which we don't use. a friend/client asked if he could use our buoy. i need to show our homeowners my name on boat interest to get access to a buoy so we are setting up LLC to show

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-04-29
• S63 Uniform Securities Agent State Law Examination
  1997-06-13