JK
James D. Katarincic
BROOKFIELD PRIVATE ADVISORS LLC
NEW YORK, NY 10281-1021
Some features on this profile are disabled
CRD#: 4582757
JK
Professional summary
James Dewey Katarincic, who also goes by James D Katarincic, is a registered financial professional currently at BROOKFIELD PRIVATE ADVISORS LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2002. James has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James D Katarincic
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.
CRS (Client Relationship Summary) - BD
Click below to view James Dewey Katarincic'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®
NoneExperience
Current
January 31, 2025 - Present
BROOKFIELD PRIVATE ADVISORS LLC
Office #1: Brookfield Place 250 Vesey Street 15th Floor, New York, NY, 10281-1021BD
CRD#: 151423
NEW YORK, NY
Past
July 29, 2010 - April 15, 2014
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
June 26, 2009 - August 4, 2010
SIXPOINT PARTNERS LLC
BD
CRD#: 146067
NEW YORK, NY
Past
October 23, 2002 - March 18, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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(4/1/2025)
RR
Alaska(4/1/2025)
RR
Arizona(4/2/2025)
RR
Arkansas(4/1/2025)
RR
California(4/1/2025)
RR
Colorado(1/31/2025)
RR
Connecticut(2/3/2025)
RR
Delaware(4/1/2025)
RR
District of Columbia(1/31/2025)
RR
Florida(1/31/2025)
RR
Georgia(4/1/2025)
RR
Hawaii(4/1/2025)
RR
Idaho(2/3/2025)
RR
Illinois(4/1/2025)
RR
Indiana(4/1/2025)
RR
Iowa(4/1/2025)
RR
Kansas(4/1/2025)
RR
Kentucky(4/1/2025)
RR
Louisiana(1/31/2025)
RR
Maine(4/1/2025)
RR
Maryland(1/31/2025)
RR
Massachusetts(4/1/2025)
RR
Michigan(4/1/2025)
RR
Minnesota(4/1/2025)
RR
Mississippi(4/1/2025)
RR
Missouri(4/1/2025)
RR
Montana(4/1/2025)
RR
Nebraska(4/1/2025)
RR
Nevada(4/1/2025)
RR
New Hampshire(4/1/2025)
RR
New Jersey(4/1/2025)
RR
New Mexico(4/1/2025)
RR
New York(4/1/2025)
RR
North Carolina(4/1/2025)
RR
North Dakota(4/1/2025)
RR
Ohio(4/2/2025)
RR
Oklahoma(4/1/2025)
RR
Oregon(4/1/2025)
RR
Pennsylvania(4/1/2025)
RR
Rhode Island(4/1/2025)
RR
South Carolina(4/1/2025)
RR
South Dakota(4/1/2025)
RR
Tennessee(4/1/2025)
RR
Texas(4/1/2025)
RR
Utah(4/1/2025)
RR
Vermont(4/1/2025)
RR
Virginia(4/1/2025)
RR
Washington(4/1/2025)
RR
West Virginia(4/1/2025)
RR
Wisconsin(4/1/2025)
RR
Wyoming(4/1/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/31/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
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
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
