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Kathleen Breen

Truist Advisory Services, INC.
27 Years of Experience
Fort Worth, TX
1 DisclosureBroker
View SEC Summary
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Kathleen Breen is a registered investment advisor at Truist Advisory Services, INC., based in Fort Worth, TX, with 27 years of industry experience. Kathleen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 129,307 clients with $77B in assets under management.

Truist Advisory Services, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1974 advisors
Number of Clients
129,307 clients
Average Client Portfolio
$599K average
Assets Under Management
$77.4B

Fee Structure

Minimum Investment:$100K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $100K2.25%
$100K - $250K2.20%
$250K - $500K2.15%
$500K - $1.0M2.00%
$1.0M - $2.0M1.85%
$2.0M - $5.0M1.75%
$5.0M - $10.0M1.65%
$10.0M - $25.0M1.50%
$25M+1.45%

Fees are negotiable and billed quarterly in arrears. AMC Advantage Program charges a separate program fee up to 2.25% plus third-party manager fees.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

5128 Apache Plume Rd, Fl 3, Fort Worth, TX, 76109

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Kathleen is the co-founder and secretary of The Stephen Breen Memorial Foundation, established in memory of her son. The foundation provides financial assistance to children seeking Catholic education and families with children afflicted with cancer, dedicating a few hours per week to this activity.

Employment History
Current Registrations
Truist Advisory Services, INC.
February 2021 - Present · 5 yrs 8 mos
Truist Investment Services, INC.
March 2020 - Present · 6 yrs 7 mos
Truist Investment Services, INC.Broker
March 2020 - Present · 6 yrs 7 mos
Previous Registrations
Bb&t Securities, LLC
January 2020 - February 2021 · 1 yr 1 mo
Bb&t Securities, LLCBroker
January 2020 - February 2021 · 1 yr 1 mo
Morgan Stanley
September 2013 - October 2018 · 5 yrs 1 mo
Morgan StanleyBroker
September 2013 - October 2018 · 5 yrs 1 mo
Robert W. Baird & CO. Incorporated
August 2010 - September 2013 · 3 yrs 1 mo
Robert W. Baird & CO. IncorporatedBroker
August 2010 - September 2013 · 3 yrs 1 mo
Raymond James & Associates, INC.
January 2007 - July 2010 · 3 yrs 6 mos
Raymond James & Associates, INC.Broker
November 2006 - July 2010 · 3 yrs 8 mos
Citigroup Global Markets INC.
September 1997 - November 2006 · 9 yrs 2 mos
Citigroup Global Markets INC.Broker
August 1997 - November 2006 · 9 yrs 3 mos
State Registrations4 states
COFLMATX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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