Bren Breithaupt, financial advisor Montpelier VT
58 score

Bren Breithaupt

CRD Number: 1281701
Current Firm: Esi Financial Advisors

Bren Breithaupt (CRD# 1281701) is an Investment Advisor Representative working at Esi Financial Advisors in Montpelier, VT and has over 20 years of experience in the finance industry.

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Company Name Location Dates Years
Equity Services Inc. Montpelier, VT Jul 2001 - Current 16
National Life Of Vermont Montpelier, VT Jul 2001 - Current 16
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1997
S65 NASAA Investment Advisors Law Examination Dec 1998
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Bren M. Breithaupt
Phone Number: 800-344-7437
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    975
    MILLIONS
  • Total Number of Accounts
    6,558
    ACCOUNTS
  • Average Account Value
    $148,612
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, ID, IL, IN, KS, KY, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
58

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