Robert Lucas Breen

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-11-13
CA	RA	APPROVED	2014-11-07

TX RA
APPROVED_RES

Since 2014-11-13
CA RA
APPROVED

Since 2014-11-07

Branch Locations

660 Newport Center Dr Ste 800, Newport Beach, CA 92660 • United States

Santa Ana, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Irvine	CA	11/2014	03/2020
Ameriprise Financial Services, Llc	Irvine	CA	03/2020	Present

11/2014 → 03/2020

Ameriprise Financial Services, Inc.

Irvine, CA
03/2020 → Present

Ameriprise Financial Services, Llc

Irvine, CA

Previous Registrations

2005-04-01 → 2014-11-11

Wells Fargo Clearing Services, Llc

Anaheim, CA

Anaheim, CA
1997-07-08 → 2005-04-21

Citigroup Global Markets Inc.

Orange, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-06-05
S63	Uniform Securities Agent State Law Examination	1980-09-23

S65 Uniform Investment Adviser Law Examination

1995-06-05
S63 Uniform Securities Agent State Law Examination

1980-09-23

View on SEC IAPD

Current Employers

Ameriprise Financial Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews