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Detailed Report
JOHN MITCHELL BREEN
CRD#: 2177668
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 660 Newport Center Dr
Ste 800
Newport Beach, CA 92660
Registration History
19952000200520102015202020252 FIRMS2005 - 2014 (9 years)2 FIRMS2014 - 2014 (<1 year)2 FIRMS2014 - Present (10 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1994 - 2005 (10 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2005 (7 years)
License(s)

State Registrations

B
Arizona 11/7/2014
B
Missouri 9/28/2021
B
California 11/7/2014
B
Nevada 11/7/2014
IA
California 11/10/2014
B
New Mexico 11/7/2014
B
Colorado 7/27/2022
B
New York 10/6/2021
B
Florida 11/7/2014
B
North Carolina 10/6/2021
B
Georgia 10/6/2021
B
Ohio 6/27/2022
B
Hawaii 11/7/2014
B
Oklahoma 7/10/2020
B
Idaho 11/7/2014
B
Oregon 11/7/2014
B
Illinois 8/19/2024
B
Pennsylvania 4/23/2021
B
Kansas 1/26/2022
B
Texas 11/7/2014
B
Maryland 11/7/2014
IA
Texas 11/7/2014
B
Massachusetts 11/7/2014
B
Utah 11/7/2014
B
Michigan 11/7/2014
B
Virginia 4/28/2021
B
Minnesota 10/6/2021
B
Washington 11/7/2014
B
Mississippi 11/16/2018
B
Wisconsin 7/20/2022

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
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
660 Newport Center Dr Ste 800, Newport Beach, CA 92660
Corona, CA
Registered with this firm since 11/7/2014
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
660 Newport Center Dr Ste 800, Newport Beach, CA 92660
Corona, CA
Registered with this firm since 11/7/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/12/2014 - 11/17/2014 OPPENHEIMER & CO. INC. (CRD#:249) NEWPORT BEACH, CA
B
 06/12/2014 - 11/17/2014 OPPENHEIMER & CO. INC. (CRD#:249) NEWPORT BEACH, CA
IA
 04/04/2005 - 06/12/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) NEWPORT BEACH, CA
B
 04/04/2005 - 06/12/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) NEWPORT BEACH, CA
IA
 07/08/1997 - 04/21/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ORANGE, CA
B
 08/01/1994 - 04/21/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
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.