• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
RICHARD Carlisle BREITENECKER
RICH BREITENECKER
CRD#: 2004887
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N WACKER DR
CHICAGO, IL 60606
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2024 - Present (<1 year)BSTONEX FINANCIAL INC. (CRD# 45993)2019 - 2023 (4 years)BINTL FILLMORE ADVISORS LLC (CRD# 30773)2022 - 2023 (1 year)BMKM PARTNERS LLC (CRD# 114666)2017 - 2019 (1 year)BJONESTRADING (CRD# 6888)2009 - 2017 (8 years)BBARCLAYS CAPITAL INC. (CRD# 19714)2008 - 2009 (<1 year)BLEHMAN BROTHERS INC. (CRD# 7506)2004 - 2008 (4 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1997 - 2004 (6 years)
License(s)

State Registrations

B
Arizona 12/12/2024

B
Michigan 12/12/2024

B
Florida 12/12/2024

B
Minnesota 12/12/2024

B
Illinois 12/9/2024

B
Missouri 12/12/2024

IA
Illinois 12/9/2024

B
Nevada 12/12/2024

B
Indiana 12/12/2024

B
Texas 12/12/2024

B
Iowa 12/12/2024

IA
Texas 12/18/2024

B
Kentucky 12/12/2024

B
Virginia 2/3/2025

B
Maryland 12/21/2024

B
Wisconsin 12/12/2024

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 12/9/2024

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 12/9/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
B
07/10/2019 - 11/16/2023 STONEX FINANCIAL INC. (CRD#:45993) Chicago, IL
B
05/11/2022 - 07/07/2023 INTL FILLMORE ADVISORS LLC (CRD#:30773) CHICAGO, IL
B
09/05/2017 - 07/05/2019 MKM PARTNERS LLC (CRD#:114666) Chicago, IL
B
05/29/2009 - 08/31/2017 JONESTRADING (CRD#:6888) CHICAGO, IL
B
09/22/2008 - 03/09/2009 BARCLAYS CAPITAL INC. (CRD#:19714) CHICAGO, IL
B
05/14/2004 - 09/22/2008 LEHMAN BROTHERS INC. (CRD#:7506) CHICAGO, IL
B
11/19/1997 - 05/05/2004 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.