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Detailed Report
THOMAS JOSEPH BRESLIN JR.
THOMAS J BRESLIN, THOMAS JOSEPH BRESLIN JR JR.
CRD#: 3252236
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Investment Adviser
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Previous Broker
BALBOA WEALTH PARTNERS, INC.CRD#: 282329 130 Newport Center Drive
Suite 240
Newport Beach, CA 92660
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2002 (2 years)2 FIRMS2005 - 2016 (10 years)IABALBOA WEALTH PARTNERS, INC. (CRD# 282329)2016 - Present (9 years)BMORGAN STANLEY DW INC. (CRD# 7556)2002 - 2005 (3 years)IAMORGAN STANLEY (CRD# 7556)2003 - 2005 (2 years)
Disclosure(s)
View By:
10/26/2017
Regulatory
Final
3/23/2016
Employment Separation After Allegations
1/2/2012
Judgment / Lien
License(s)

State Registrations

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California 4/20/2016
Current Registration(s)
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BALBOA WEALTH PARTNERS, INC. (CRD#:282329)
130 Newport Center Drive Suite 240, Newport Beach, CA 92660
Registered with this firm since 4/20/2016
Previous Registration(s)
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 09/28/2005 - 04/15/2016 LPL FINANCIAL LLC (CRD#:6413) SAN DIEGO, CA
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 09/28/2005 - 04/15/2016 LPL FINANCIAL LLC (CRD#:6413) SAN DIEGO, CA
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 01/02/2003 - 08/29/2005 MORGAN STANLEY (CRD#:7556) SAN DIEGO, CA
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 05/20/2002 - 08/29/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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 11/02/1999 - 05/09/2002 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) ANCHORAGE, AK
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 07/16/1999 - 05/09/2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.