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JL

John A. Lucarelli

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 4451063
JL

Professional summary

John Anthony Lucarelli, who also goes by John Lucarelli, John Anthony Lucarelli, is a registered financial professional currently at BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC located in Los Angeles, California.

John is registered as a RR (Registered Representative) and started their career in finance in 2001. John has worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Lucarelli | John Anthony Lucarelli

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 John Anthony Lucarelli'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: 333 South Grand Avenue 28th Floor, Los Angeles, CA 90071
BD
CRD#: 313390
Los Angeles, CA
Past

February 4, 2021 - December 22, 2021

BROOKFIELD PRIVATE ADVISORS LLC

BD
CRD#: 151423
LOS ANGELES, CA
Past

June 14, 2010 - April 20, 2016

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
NEW YORK, NY
Past

August 27, 2003 - August 5, 2004

HCFP BRENNER SECURITIES, LLC

BD
CRD#: 46003
NEW YORK, NY
Past

January 17, 2003 - May 6, 2003

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

November 2, 2001 - January 17, 2003

PERSHING LLC

BD
CRD#: 7560
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
Alaska
(12/22/2021)
RR
Arizona
(12/22/2021)
RR
California
(12/22/2021)
RR
Colorado
(5/5/2023)
RR
Hawaii
(12/22/2021)
RR
Idaho
(12/22/2021)
RR
Montana
(12/22/2021)
RR
Nevada
(12/22/2021)
RR
New York
(1/3/2023)
RR
Oregon
(12/22/2021)
RR
Utah
(12/22/2021)
RR
Washington
(12/22/2021)
RR
Wyoming
(12/22/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 2/10/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/11/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/4/2023
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#: 313390Los Angeles, CA 90071

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