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JW

Jacob C. Walter

BROOKFIELD PRIVATE WEALTH
New York, NY 10281
CRD#: 4521709
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JW
Jacob Christian WalterBROOKFIELD PRIVATE WEALTH

Professional summary

Jacob Christian Walter, CFP®, who also goes by Jacob C Walter, is a registered financial professional currently at BROOKFIELD PRIVATE WEALTH LLC located in New York, New York.

Jacob is registered as a RR (Registered Representative) and started their career in finance in 2002. Jacob has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jacob C Walter

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 Jacob Christian Walter'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®
CFP®

Certified Financial Planner

Experience

Current

March 16, 2026 - Present

BROOKFIELD PRIVATE WEALTH LLC

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

September 8, 2016 - February 24, 2026

CLEARBRIDGE INVESTMENTS, LLC

RIA
CRD#: 137028
NEW YORK, NY
Past

September 8, 2016 - February 24, 2026

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
SAN MATEO, CA
Past

December 21, 2009 - September 2, 2016

WADDELL & REED

RIA
CRD#: 866
OVERLAND PARK, KS
Past

February 20, 2007 - December 15, 2009

WADDELL & REED

RIA
CRD#: 866
OVERLAND PARK, KS
Past

February 20, 2007 - September 2, 2016

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

February 20, 2007 - September 2, 2016

IVY DISTRIBUTORS, INC.

BD
CRD#: 16496
OVERLAND PARK, KS
Past

August 30, 2005 - January 25, 2007

UMB FINANCIAL SERVICES, INC.

BD
CRD#: 17073
KANSAS CITY, MO
Past

September 8, 2003 - September 17, 2004

JBS LIBERTY SECURITIES, INC.

BD
CRD#: 36179
KANNAPOLIS, NC
Past

January 3, 2003 - March 28, 2003

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
OVERLAND PARK, KS
Past

April 22, 2002 - March 28, 2003

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
AUSTIN, TX

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
(3/16/2026)
RR
Alaska
(3/16/2026)
RR
Arizona
(3/16/2026)
RR
Arkansas
(3/16/2026)
RR
California
(3/16/2026)
RR
Colorado
(3/16/2026)
RR
Connecticut
(3/16/2026)
RR
Delaware
(3/16/2026)
RR
District of Columbia
(3/16/2026)
RR
Florida
(3/16/2026)
RR
Georgia
(3/16/2026)
RR
Hawaii
(3/16/2026)
RR
Idaho
(3/16/2026)
RR
Illinois
(3/16/2026)
RR
Indiana
(3/16/2026)
RR
Iowa
(3/16/2026)
RR
Kansas
(3/16/2026)
RR
Kentucky
(3/16/2026)
RR
Louisiana
(3/16/2026)
RR
Maine
(3/16/2026)
RR
Maryland
(3/16/2026)
RR
Massachusetts
(3/16/2026)
RR
Michigan
(3/16/2026)
RR
Minnesota
(3/16/2026)
RR
Mississippi
(3/16/2026)
RR
Missouri
(3/16/2026)
RR
Montana
(3/16/2026)
RR
Nebraska
(3/16/2026)
RR
Nevada
(3/16/2026)
RR
New Hampshire
(3/16/2026)
RR
New Jersey
(3/16/2026)
RR
New Mexico
(3/16/2026)
RR
New York
(3/16/2026)
RR
North Carolina
(3/17/2026)
RR
North Dakota
(3/16/2026)
RR
Ohio
(3/16/2026)
RR
Oklahoma
(3/16/2026)
RR
Oregon
(3/16/2026)
RR
Pennsylvania
(3/16/2026)
RR
Rhode Island
(3/16/2026)
RR
South Carolina
(3/16/2026)
RR
South Dakota
(3/16/2026)
RR
Tennessee
(3/16/2026)
RR
Texas
(3/16/2026)
RR
Utah
(3/16/2026)
RR
Vermont
(3/16/2026)
RR
Virginia
(3/16/2026)
RR
Washington
(3/16/2026)
RR
West Virginia
(3/16/2026)
RR
Wisconsin
(3/16/2026)
RR
Wyoming
(3/16/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/10/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/3/2002
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 7
Date: 9/16/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/19/2002
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BP
BROOKFIELD PRIVATE WEALTH LLC
BROOKFIELD OAKTREE DISTRIBUTORS LLC | BROOKFIELD PRIVATE WEALTH 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)

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 PRIVATE WEALTH LLC

CRD#: 313390New York, NY 10281

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