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JW

James M. Wing

Some features on this profile are disabled
CRD#: 3074959
JW

Professional summary

James Moy Wing was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, James had worked at 12 firms, which includes BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC, BROOKFIELD PRIVATE ADVISORS LLC, NUVEEN SECURITIES LLC, MAN INVESTMENTS INC., MORGAN STANLEY, MORGAN STANLEY & CO. LLC, COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS INC., GUGGENHEIM INVESTMENTS, GUGGENHEIM FUNDS DISTRIBUTORS LLC, OLD MUTUAL INVESTMENT PARTNERS, NORTHERN TRUST SECURITIES INC., PERSHING LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James M Wing | James Moy Wing Jr | James Wing | Jim Wing Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 22, 2021 - December 20, 2022

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC

BD
CRD#: 313390
Chicago, IL
Past

April 29, 2021 - December 22, 2021

BROOKFIELD PRIVATE ADVISORS LLC

BD
CRD#: 151423
Chicago, IL
Past

March 13, 2017 - February 5, 2021

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

September 16, 2010 - December 19, 2016

MAN INVESTMENTS INC.

BD
CRD#: 15770
CHICAGO, IL
Past

June 1, 2009 - August 31, 2010

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

June 30, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
CHICAGO, IL
Past

March 28, 2006 - July 2, 2008

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BD
CRD#: 840
NEW YORK, NY
Past

July 11, 2005 - March 22, 2006

GUGGENHEIM INVESTMENTS

RIA
CRD#: 129288
LISLE, IL
Past

March 17, 2005 - March 22, 2006

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL
Past

April 26, 2004 - March 16, 2005

OLD MUTUAL INVESTMENT PARTNERS

BD
CRD#: 44916
BOSTON, MA
Past

April 19, 2002 - March 5, 2004

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
CHICAGO, IL
Past

March 19, 1999 - March 7, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

August 27, 1998 - February 18, 1999

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/6/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/24/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/15/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/24/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/26/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/27/1999
General Securities Principal Examination

Current Firm

BO
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
BROOKFIELD OAKTREE DISTRIBUTORS LLC | BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC | BROOKFIELD OAKTREE WEALTH MANAGEMENT SOLUTIONS LLC

CRD#: 313390 / SEC#: , 8-70722

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
225 Liberty Street 35th Floor, New York, NY 10281
Mailing Address
250 Vesey Street 15th Floor, New York, NY 10281
Phone number
(212) 549-8380
Established
Delaware since 02/04/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BROOKFIELD US INC.MEMBER
BECK, RAFAELFINANCE & OPERATIONS PRINCIPAL5718571
KONG, WENDYCHIEF COMPLIANCE OFFICER2653550
RICHARDSON, SCOTT KIMBALLHEAD OF LEGAL5011556
SIDOTI, VICTORIA ANNDIRECTOR OF FINANCE7617845
SWEENEY, JOHN MICHAELCHIEF EXECUTIVE OFFICER2554291

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC

CRD#: 313390

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