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JF

Joseph J. Fergus

BROOKFIELD PRIVATE ADVISORS
NEW YORK, NY 10281-1048
CRD#: 4319579
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JF
Joseph J FergusBROOKFIELD PRIVATE ADVISORS

Professional summary

Joseph J Fergus is a registered financial professional currently at BROOKFIELD PRIVATE ADVISORS LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2001. Joseph has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

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 Joseph J Fergus's 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

June 1, 2026 - Present

BROOKFIELD PRIVATE ADVISORS LLC

Office #1: Brookfield Place 225 Liberty Street 8th Floor, New York, NY, 10281-1048
BD
CRD#: 151423
NEW YORK, NY
Past

October 12, 2006 - June 1, 2026

OCM INVESTMENTS, LLC

BD
CRD#: 128803
NEW YORK, NY
Past

December 2, 2004 - October 16, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA
CRD#: 105068
PLAINSBORO, NJ
Past

April 16, 2001 - October 16, 2006

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY

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
(6/1/2026)
RR
Alaska
(6/1/2026)
RR
Arizona
(6/1/2026)
RR
Arkansas
(6/1/2026)
RR
California
(6/1/2026)
RR
Colorado
(6/1/2026)
RR
Connecticut
(6/1/2026)
RR
Delaware
(6/1/2026)
RR
District of Columbia
(6/1/2026)
RR
Florida
(6/1/2026)
RR
Georgia
(6/1/2026)
RR
Hawaii
(6/1/2026)
RR
Idaho
(6/1/2026)
RR
Illinois
(6/1/2026)
RR
Indiana
(6/1/2026)
RR
Iowa
(6/1/2026)
RR
Kansas
(6/1/2026)
RR
Kentucky
(6/1/2026)
RR
Louisiana
(6/1/2026)
RR
Maine
(6/1/2026)
RR
Maryland
(6/1/2026)
RR
Massachusetts
(6/1/2026)
RR
Michigan
(6/1/2026)
RR
Minnesota
(6/1/2026)
RR
Mississippi
(6/1/2026)
RR
Missouri
(6/1/2026)
RR
Montana
(6/1/2026)
RR
Nebraska
(6/1/2026)
RR
Nevada
(6/1/2026)
RR
New Hampshire
(6/1/2026)
RR
New Jersey
(6/1/2026)
RR
New Mexico
(6/1/2026)
RR
New York
(6/1/2026)
RR
North Carolina
(6/1/2026)
RR
North Dakota
(6/1/2026)
RR
Ohio
(6/1/2026)
RR
Oklahoma
(6/1/2026)
RR
Oregon
(6/1/2026)
RR
Pennsylvania
(6/1/2026)
RR
Rhode Island
(6/1/2026)
RR
South Carolina
(6/1/2026)
RR
South Dakota
(6/1/2026)
RR
Tennessee
(6/1/2026)
RR
Texas
(6/1/2026)
RR
Utah
(6/1/2026)
RR
Vermont
(6/1/2026)
RR
Virginia
(6/1/2026)
RR
Washington
(6/1/2026)
RR
West Virginia
(6/1/2026)
RR
Wisconsin
(6/1/2026)
RR
Wyoming
(6/1/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/19/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/27/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 7/23/2012
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/13/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BP
BROOKFIELD PRIVATE ADVISORS LLC
BROOKFIELD FINANCIAL | GLOBAL CLIENT GROUP | BROOKFIELD PRIVATE ADVISORS LLC | BROOKFIELD FINANCIAL US, LLC

CRD#: 151423 / SEC#: , 8-68370

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

Main Address
Brookfield Place 250 Vesey Street 15th Floor, New York, NY, 10281-1021
Mailing Address
Brookfield Place 250 Vesey Street 15th Floor, New York, NY, 10281-1021
Phone number
(212) 417-7000
Established
Delaware since 07/21/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
BROOKFIELD US INC.MEMBER
BECK, RAFAELCFO & FINANCIAL OPERATIONS PRINCIPAL5718571
LEVI, DAVID WILLIAMCEO AND DIRECTOR2387908
SELIG, PHILIP SCOTTCHIEF COMPLIANCE OFFICER4593048
SRULOWITZ, MARKDIRECTOR6555246

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 PRIVATE ADVISORS LLC

CRD#: 151423New York, NY 10281-1048

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