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Detailed Report
DAVID BREAULT
CRD#: 1161180
IA
Investment Adviser
B
Broker
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 305 MADISON AVENUE
MORRISTOWN, NJ 07960
LPL FINANCIAL LLCCRD#: 6413 KINNELON, NJ
Registration History
1985199019952000200520102015202020252 FIRMS2005 - 2009 (3 years)2 FIRMS2009 - 2010 (1 year)IAPRIVATE ADVISOR GROUP, LLC (CRD# 155216)2011 - Present (13 years)BLPL FINANCIAL LLC (CRD# 6413)2010 - Present (14 years)BMORGAN STANLEY DW INC. (CRD# 7556)1985 - 2005 (20 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1983 - 1984 (<1 year)BTUTTLE SECURITIES CORPORATION (CRD# 6897)1983 - 1983 (<1 year)IALPL FINANCIAL LLC (CRD# 6413)2010 - 2013 (2 years)IAMORGAN STANLEY (CRD# 7556)2002 - 2005 (3 years)
Disclosure(s)
View By:
7/27/2010
Customer Dispute
Denied
3/4/2008
Criminal
Final Disposition
12/2/2002
Customer Dispute
Settled
License(s)

State Registrations

B
California 12/21/2010
B
New York 12/14/2010
B
Delaware 1/18/2011
B
North Carolina 12/20/2010
B
Florida 11/18/2010
B
Pennsylvania 11/12/2010
B
New Jersey 11/12/2010
IA
Texas 10/24/2011
IA
New Jersey 10/14/2011

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRIVATE ADVISOR GROUP, LLC (CRD#:155216)
305 MADISON AVENUE, MORRISTOWN, NJ 07960
KINNELON, NJ
Registered with this firm since 10/14/2011
B
LPL FINANCIAL LLC (CRD#:6413)
KINNELON, NJ
Registered with this firm since 11/12/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/12/2010 - 03/27/2013 LPL FINANCIAL LLC (CRD#:6413) KINNELON, NJ
IA
 06/01/2009 - 11/29/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) MORRISTOWN, NJ
B
 06/01/2009 - 11/29/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) MORRISTOWN, NJ
IA
 11/11/2005 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MORRISTOWN, NJ
B
 11/11/2005 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MORRISTOWN, NJ
IA
 07/15/2002 - 11/22/2005 MORGAN STANLEY (CRD#:7556) MORRISTOWN, NJ
B
 10/25/1985 - 11/22/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 08/05/1983 - 03/15/1984 DEAN WITTER REYNOLDS INC. (CRD#:7556)
B
 07/21/1983 - 08/01/1983 TUTTLE SECURITIES CORPORATION (CRD#:6897)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.