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Detailed Report
Kevin W Breckenfelder
KEVIN WILLIAM BRECKENFELDER
CRD#: 4748541
IA
Investment Adviser
B
Broker
TRANSAMERICA RETIREMENT ADVISORS, LLCCRD#: 107319 Cologate, WI
TRANSAMERICA INVESTORS SECURITIES, LLCCRD#: 32205 Colgate, WI
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2006 - 2010 (4 years)2 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - 2015 (2 years)2 FIRMS2015 - 2016 (1 year)2 FIRMS2017 - Present (8 years)BTHRIVENT INVESTMENT MANAGEMENT... (CRD# 18387)2004 - 2006 (1 year)
License(s)

State Registrations

B
Wisconsin 1/23/2017
IA
Wisconsin 1/23/2017

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)
B
TRANSAMERICA INVESTORS SECURITIES, LLC (CRD#:32205)
Colgate, WI
Registered with this firm since 1/23/2017
IA
TRANSAMERICA RETIREMENT ADVISORS, LLC (CRD#:107319)
Cologate, WI
Registered with this firm since 1/23/2017
Previous Registration(s)
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IA
 03/10/2015 - 12/13/2016 LPL FINANCIAL LLC (CRD#:6413) BROOKFIELD, WI
B
 03/10/2015 - 12/13/2016 LPL FINANCIAL LLC (CRD#:6413) BROOKFIELD, WI
IA
 10/01/2012 - 03/11/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) PEWAUKEE, WI
B
 10/01/2012 - 03/11/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) PEWAUKEE, WI
IA
 04/07/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) PEWAUKEE, WI
B
 04/07/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) PEWAUKEE, WI
B
 01/04/2006 - 04/13/2010 M&I FINANCIAL ADVISORS, INC (CRD#:16517) WEST BEND, WI
IA
 01/04/2006 - 03/30/2010 M&I FINANCIAL ADVISORS, INC. (CRD#:16517) WEST BEND, WI
B
 04/07/2004 - 01/04/2006 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) MINNEAPOLIS, MN
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.