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BK

Brian E. Kernaghan

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 3255940
BK

Professional summary

Brian Edward Kernaghan is a registered financial professional currently at BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC located in Chicago, Illinois.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1999. Brian has worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Brian Edward Kernaghan's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

December 22, 2021 - Present

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC

Office #1: 110 N. Wacker Drive Suite 2700, Chicago, IL 60606
BD
CRD#: 313390
Chicago, IL
Past

November 2, 2017 - December 22, 2021

BROOKFIELD PRIVATE ADVISORS LLC

BD
CRD#: 151423
Chicago, IL
Past

October 29, 2012 - November 2, 2017

LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC

BD
CRD#: 157625
CHICAGO, IL
Past

June 17, 2010 - October 12, 2012

AMG FUNDS LLC

RIA
CRD#: 153456
STAMFORD, CT
Past

March 22, 2006 - June 18, 2010

AMG DISTRIBUTORS, INC.

RIA
CRD#: 27314
EVANSTON, IL
Past

March 22, 2006 - October 12, 2012

AMG DISTRIBUTORS, INC.

BD
CRD#: 27314
CHICAGO, IL
Past

December 16, 2003 - March 11, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
CHICAGO, IL
Past

December 16, 2003 - March 11, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 17, 2002 - November 25, 2003

AMG DISTRIBUTORS, INC.

BD
CRD#: 27314
STAMFORD, CT
Past

July 23, 2002 - November 24, 2003

BURRIDGE GROUP LLC

RIA
CRD#: 106416
CHICAGO, IL
Past

March 14, 2002 - July 24, 2002

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

August 27, 1999 - September 12, 2001

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arkansas
(1/30/2025)
RR
Illinois
(12/22/2021)
RR
Indiana
(1/30/2025)
RR
Iowa
(12/22/2021)
RR
Kansas
(12/22/2021)
RR
Kentucky
(1/30/2025)
RR
Louisiana
(1/30/2025)
RR
Michigan
(1/30/2025)
RR
Minnesota
(12/22/2021)
RR
Mississippi
(1/30/2025)
RR
Missouri
(12/22/2021)
RR
Nebraska
(12/22/2021)
RR
New Mexico
(1/30/2025)
RR
New York
(12/5/2023)
RR
North Dakota
(12/22/2021)
RR
Ohio
(1/30/2025)
RR
Oklahoma
(1/30/2025)
RR
Pennsylvania
(1/30/2025)
RR
South Dakota
(12/22/2021)
RR
Texas
(1/30/2025)
RR
West Virginia
(1/30/2025)
RR
Wisconsin
(12/22/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/11/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/12/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/7/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 8/26/1999
Municipal Securities Representative Examination
SRO Registrations
RR
FINRA

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#: 313390Chicago, IL 60606

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