Joseph Curran has been Managing Member & Chief Compliance Officer of Breachway Investments since March 2019, is a control person of the firm and directly owns 75% or more of it. Joseph Curran holds a Bachelor's degree in Economics from the University of Connecticut and a Master's degree in Financial Economics from Trinity College.
Breachway Investments, LLC is a Charlestown, RI firm with $165M under management, 243 clients and 1 adviser across 2 offices, as of its July 2026 filing.
Joseph P. Curran is Founder & Investment Advisor of Breachway Investments, LLC. He has been in the investment management industry since 1998 and develops customized investment strategies for both families and institutions. He is the owner and founder of the firm and the author of The Process of Investing, and previously worked for Smith Barney and Merrill Lynch.
Joseph Curran’s longest registration was 9 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2009–2019). Before joining Breachway Investments in 2019, Joseph Curran was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley Smith Barney LLC.
- Breachway Investments, LLCCurrent– present · 7 yearsCharlestown, RI · Adviser representative · Firm CRD 299102
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 9 yearsGlastonbury, CT · Adviser representative · Firm CRD 7691
- Morgan Stanley Smith Barney LLC– · under a yearProvidence, RI · Adviser representative · Firm CRD 149777
- Citigroup Global Markets Inc.– · 4 yearsProvidence, RI · Adviser representative · Firm CRD 7059
- Constitution Investment Services LLC– · under a yearWallingford, CT · Adviser representative · Firm CRD 126894
- Cigna Financial Services, Inc.– · 3 yearsHartford, CT · Adviser representative · Firm CRD 40596
Professional designations
Listed by Breachway Investments
- CERTIFIED FINANCIAL PLANNER™
- Certified Portfolio Manager (CPM®)
- Chartered Retirement Planning Counselor℠
Investment adviser representative registrations
Joseph Curran is registered as an investment adviser representative in 2 states. Each was approved in May 2019.
- Rhode IslandSince 7 May 2019
- TexasSince 17 May 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 3 | National Commodity Futures Examination | 2 October 2017 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 12 August 2017 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 1 July 2017 |
| Series 24 | General Securities Principal Examination | 19 December 2001 |
| Series 65 | Uniform Investment Adviser Law Examination | 18 January 2001 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 December 1999 |
| Series 7 | General Securities Representative Examination | 12 August 1999 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 15 April 1998 |
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Joseph P Curran
- CRD
- 3024167
- Firm
- Breachway Investments · CRD 299102
- Role
- Managing Member & Chief Compliance Officer
- Office
- 4259 OLD POST ROAD, UNIT 1, Charlestown, RI 02813
- Registration
- Investment adviser registration
- In the industry since
- December 1998
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- breachwayinvestments.com
Where does Joseph Curran work?
Joseph Curran has been Managing Member & Chief Compliance Officer of Breachway Investments, LLC since March 2019, and is a control person of the firm.
Is Joseph Curran a financial advisor?
Yes. Joseph Curran has a current investment-adviser registration in Rhode Island and Texas, through Breachway Investments since March 2019.
How many years of experience does Joseph Curran have?
Joseph Curran has 27 years in the financial industry, since December 1998, across 6 adviser firms.
What exams has Joseph Curran passed?
Joseph Curran has passed 8 licensing exams: the Series 6, Series 7, Series 63, Series 65, Series 24, Series 9, Series 10 and Series 3. The earliest, the Series 6, was passed in April 1998. FINRA credited Joseph Curran with the SIE, which began in October 2018.
Where did Joseph Curran work before Breachway Investments?
Before Breachway Investments, Joseph Curran was registered through Morgan Stanley Smith Barney LLC, June 2009 to September 2009; Citigroup Global Markets Inc., April 2005 to June 2009; Constitution Investment Services LLC, October 2004 to March 2005; Cigna Financial Services, Inc., February 2001 to April 2004.
Where is Joseph Curran based?
Joseph Curran’s registered office is in Charlestown, RI.
Is Joseph Curran registered with FINRA?
No. Joseph Curran has no current broker registration.
Is Joseph Curran a CFP?
Breachway Investments lists Joseph Curran with the CFP credential (“CERTIFIED FINANCIAL PLANNER™”) on its website. CFP Board confirms certification status.
Source: Joseph P. Curran biography, breachwayinvestments.com
How can I verify Joseph Curran’s record?
Search CRD 3024167 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joseph Curran’s full registration record.