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DM

Daniel D. Mcculloch

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
New York, NY 10281
Some features on this profile are disabled
CRD#: 4018738
DM

Professional summary

Daniel Daly Mcculloch is a registered financial professional currently at BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1999. Daniel has worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 3, Series 31, Series 7 and Series 24 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 Daniel Daly Mcculloch'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

August 16, 2022 - Present

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC

Office #1: 225 Liberty Street 35th Floor, New York, NY 10281
BD
CRD#: 313390
New York, NY
Past

December 11, 2020 - July 25, 2022

MORGAN STANLEY

RIA
CRD#: 149777
Houston, TX
Past

December 8, 2020 - July 25, 2022

MORGAN STANLEY

BD
CRD#: 149777
Houston, TX
Past

May 16, 2011 - October 9, 2013

MORGAN STANLEY

RIA
CRD#: 149777
HOUSTON, TX
Past

June 1, 2009 - October 9, 2013

MORGAN STANLEY

BD
CRD#: 149777
HOUSTON, TX
Past

March 11, 2004 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 28, 2003 - March 1, 2004

WALL STREET ACCESS

BD
CRD#: 10012
NEW YORK, NY
Past

October 8, 2002 - October 21, 2002

LORD, ABBETT & CO. LLC

RIA
CRD#: 110391
JERSEY CITY, NJ
Past

October 18, 1999 - October 3, 2002

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ

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
Alabama
(8/22/2022)
RR
Arkansas
(8/19/2022)
RR
Illinois
(5/1/2023)
RR
Indiana
(5/1/2023)
RR
Iowa
(5/1/2023)
RR
Kansas
(5/1/2023)
RR
Kentucky
(5/1/2023)
RR
Louisiana
(8/22/2022)
RR
Michigan
(5/1/2023)
RR
Minnesota
(5/1/2023)
RR
Mississippi
(8/24/2022)
RR
Missouri
(5/1/2023)
RR
Nebraska
(5/1/2023)
RR
New Mexico
(8/19/2022)
RR
New York
(8/21/2022)
RR
North Dakota
(5/1/2023)
RR
Ohio
(5/2/2023)
RR
Oklahoma
(8/22/2022)
RR
Pennsylvania
(1/31/2025)
RR
South Dakota
(5/1/2023)
RR
Tennessee
(8/18/2022)
RR
Texas
(8/18/2022)
RR
West Virginia
(2/6/2025)
RR
Wisconsin
(5/1/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/23/2020
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/14/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/12/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 7/29/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 7/2/2004
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/28/2023
General Securities Principal 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#: 313390New York, NY 10281

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