BREEN FINANCIAL CORPORATION
CRD #116296 SEC #801-60763 CHARLOTTE, NC 704-544-2399
SEC Registered
Total AUM
$3.9M
Discretionary
$3.9M
Employees
1
Clients
0
Accounts
8
Firm Details
- Organization Type
- Corporation
- State of Formation
- Illinois
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 30, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BREEN, ERIN | I | VICE PRESIDENT | NA | Control |
| BREEN, ERIN | I | VICE PRESIDENT | NA | Control |
| BREEN, ERIN | I | VICE PRESIDENT | NA | Control |
| BREEN, ERIN | I | VICE PRESIDENT | NA | Control |
| BREEN, ERIN | I | VICE PRESIDENT | NA | Control |
| BREEN, ERIN | I | VICE PRESIDENT | NA | Control |
| BREEN, JAMES, THOMAS | I | DIRECTOR OF SALES | NA | |
| BREEN, JAMES, THOMAS | I | PRESIDENT | NA | Control |
| BREEN, JAMES, THOMAS | I | PRESIDENT | NA | Control |
| BREEN, JAMES, THOMAS | I | PRESIDENT | NA | Control |
| BREEN, JAMES, THOMAS | I | PRESIDENT | NA | Control |
| BREEN, JAMES, THOMAS | I | PRESIDENT | NA | Control |
| BREEN, JAMES, THOMAS | I | PRESIDENT | NA | Control |
| BREEN, JAMES, THOMAS | I | PRESIDENT | NA | Control |
| BREEN, JAMES, THOMAS | I | PRESIDENT | NA | Control |
| BREEN, JAMES, THOMAS | I | DIRECTOR OF SALES | NA | |
| BREEN, JAMES, THOMAS | I | DIRECTOR OF SALES | NA | |
| BREEN, JAMES, THOMAS | I | DIRECTOR OF SALES | NA | |
| BREEN, JAMES, THOMAS | I | DIRECTOR OF SALES | NA | |
| CANNON, ROBERT, JOSEPH | I | PRESIDENT AND CEO | NA | Control |
| CANNON, ROBERT, JOSEPH | I | PRESIDENT AND CEO | NA | Control |
| CANNON, ROBERT, JOSEPH | I | PRESIDENT AND CEO | NA | Control |
| CANNON, ROBERT, JOSEPH | I | PRESIDENT AND CEO | NA | Control |
| CANNON, ROBERT, JOSEPH | I | PRESIDENT AND CEO | NA | Control |
| CANNON, ROBERT, JOSEPH | I | PRESIDENT AND CEO | NA | Control |
| CANNON, ROBERT, JOSEPH | I | PRESIDENT AND CEO | NA | Control |
| CANNON, ROBERT, JOSEPH | I | PRESIDENT AND CEO | NA | Control |
| CHRUSCIEL, JOHN, JOSEPH | I | VICE PRESIDENT OF FINANCIAL PLANNING | NA | |
| CHRUSCIEL, JOHN, JOSEPH | I | VICE PRESIDENT OF FINANCIAL PLANNING | NA | |
| CHRUSCIEL, JOHN, JOSEPH | I | VICE PRESIDENT OF FINANCIAL PLANNING | NA | |
| CHRUSCIEL, JOHN, JOSEPH | I | VICE PRESIDENT OF FINANCIAL PLANNING | NA | |
| CHRUSCIEL, JOHN, JOSEPH | I | VICE PRESIDENT OF FINANCIAL PLANNING | NA | |
| JOHNSON, BENJAMIN, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHNSON, BENJAMIN, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHNSON, BENJAMIN, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHNSON, BENJAMIN, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHNSON, BENJAMIN, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHNSON, BENJAMIN, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHNSON, BENJAMIN, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHNSON, BENJAMIN, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KAMEIKA, GREGORY, JOHN | I | EVP & CHIEF COMPLIANCE OFFICER | NA | Control |
| KAMEIKA, GREGORY, JOHN | I | EVP & CHIEF COMPLIANCE OFFICER | NA | Control |
| BREEN, WILLIAM | I | CHAIRMAN/CEO | E | Control |
| BREEN, WILLIAM | I | CHAIRMAN/CEO | E | Control |
| BREEN, WILLIAM | I | CHAIRMAN/CEO | E | Control |
| BREEN, WILLIAM | I | CHAIRMAN/CEO | E | Control |
| BREEN, WILLIAM | I | CHAIRMAN/CEO | E | Control |
| BREEN, WILLIAM | I | CHAIRMAN/CEO | E | Control |
| BREEN, WILLIAM | I | CHAIRMAN/CEO | E | Control |
| BREEN, WILLIAM | I | CHAIRMAN/CEO | E | Control |
| BREEN, WILLIAM, JAMES | I | CHAIRMAN/CEO | D | Control |
| BREEN, WILLIAM, JAMES | I | CHAIRMAN/CEO | D | Control |
| BREEN, WILLIAM, JAMES | I | CHAIRMAN/CEO | D | Control |
| BREEN, WILLIAM, JAMES | I | SR. INVESTMENT STRATEGIST | D | Control |
| BREEN, WILLIAM, JAMES | I | SR. INVESTMENT STRATEGIST | D | Control |
| BREEN, WILLIAM, JAMES | I | CHAIRMAN/CEO | D | Control |
| BREEN, WILLIAM, JAMES | I | SR. INVESTMENT STRATEGIST | D | Control |
| BREEN, WILLIAM, JAMES | I | SR. INVESTMENT STRATEGIST | C | Control |
| BREEN, WILLIAM, JAMES | I | SR. INVESTMENT STRATEGIST | C | Control |
| BREEN, WILLIAM, JAMES | I | SR. INVESTMENT STRATEGIST | C | Control |
| BREEN, WILLIAM, JAMES | I | SR. INVESTMENT STRATEGIST | C | Control |
| BREEN, WILLIAM, JAMES | I | SR. INVESTMENT STRATEGIST | C | Control |
| HORIZON INVESTMENTS LLC | DE | OWNER | C | Control |
| HORIZON INVESTMENTS LLC | DE | OWNER | C | Control |
| HORIZON INVESTMENTS LLC | DE | OWNER | C | Control |
| HORIZON INVESTMENTS LLC | DE | OWNER | C | Control |
| HORIZON INVESTMENTS LLC | DE | OWNER | C | Control |
| HORIZON INVESTMENTS LLC | DE | OWNER | C | Control |
| HORIZON INVESTMENTS LLC | DE | OWNER | C | Control |
| HORIZON INVESTMENTS LLC | DE | OWNER | C | Control |
| BREEN, JAMES, THOMAS | I | PRESIDENT | B | Control |
| BREEN, JAMES, THOMAS | I | PRESIDENT | B | Control |
| BREEN, JAMES, THOMAS | I | PRESIDENT | B | Control |
| BREEN, JAMES, THOMAS | I | DIRECTOR OF SALES | B | |
| BREEN, JAMES, THOMAS | I | DIRECTOR OF SALES | B | |
| BREEN, JAMES, THOMAS | I | PRESIDENT | B | Control |
| BREEN, JAMES, THOMAS | I | DIRECTOR OF SALES | B | |
| KAMEIKA, GREGORY, JOHN | I | EVP & CHIEF COMPLIANCE OFFICER | B | Control |
| KAMEIKA, GREGORY, JOHN | I | EVP & CHIEF COMPLIANCE OFFICER | B | Control |
| KAMEIKA, GREGORY, JOHN | I | EVP & CHIEF COMPLIANCE OFFICER | B | Control |
| KAMEIKA, GREGORY, JOHN | I | EVP & CHIEF COMPLIANCE OFFICER | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CANNON, ROBERT, JOSEPH | I | HORIZON INVESTMENTS, LLC | E | Control |
| CANNON, ROBERT, JOSEPH | I | HORIZON INVESTMENTS, LLC | E | Control |
| CANNON, ROBERT, JOSEPH | I | HORIZON INVESTMENTS, LLC | E | Control |
| CANNON, ROBERT, JOSEPH | I | HORIZON INVESTMENTS, LLC | E | Control |
| CANNON, ROBERT, JOSEPH | I | HORIZON INVESTMENTS, LLC | E | Control |
| CANNON, ROBERT, JOSEPH | I | HORIZON INVESTMENTS, LLC | E | Control |
| CANNON, ROBERT, JOSEPH | I | HORIZON INVESTMENTS, LLC | E | Control |
| CANNON, ROBERT, JOSEPH | I | HORIZON INVESTMENTS, LLC | E | Control |
Registrations
Federal
IA
Mar 30, 2012 REGISTERED
Notice Filings (8)
CA FL GA IL KS NC TX WA
Address
13024 BALLANTYNE CORPORATE PLACESUITE 225
CHARLOTTE, NC 28277
United States
Phone: 704-544-2399