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AM

Adam M. Moran

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
New York, NY 10281
Some features on this profile are disabled
CRD#: 4750953
AM

Professional summary

Adam Matthew Moran is a registered financial professional currently at BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC located in New York, New York.

Adam is registered as a RR (Registered Representative) and started their career in finance in 2004. Adam has worked at 6 firms and has passed the Series 66, SIE, 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 Adam Matthew Moran'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: 225 Liberty Street 35th Floor, New York, NY 10281
BD
CRD#: 313390
New York, NY
Past

July 19, 2021 - December 22, 2021

BROOKFIELD PRIVATE ADVISORS LLC

BD
CRD#: 151423
New York, NY
Past

March 22, 2012 - February 23, 2021

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
NEW YORK, NY
Past

February 14, 2011 - March 19, 2012

PIMCO INVESTMENTS LLC

BD
CRD#: 154957
NEW YORK, NY
Past

July 29, 2008 - February 14, 2011

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
NEW YORK, NY
Past

November 17, 2005 - August 1, 2008

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
MELVILLE, NY
Past

January 16, 2004 - March 21, 2005

CONSOLIDATED TRADING LLC

BD
CRD#: 117726
CHICAGO, IL

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
(2/3/2025)
RR
Alaska
(2/3/2025)
RR
Arizona
(2/3/2025)
RR
Arkansas
(2/3/2025)
RR
California
(2/3/2025)
RR
Colorado
(2/3/2025)
RR
Connecticut
(12/22/2021)
RR
Delaware
(2/3/2025)
RR
District of Columbia
(2/3/2025)
RR
Florida
(2/3/2025)
RR
Georgia
(2/3/2025)
RR
Hawaii
(2/3/2025)
RR
Idaho
(2/3/2025)
RR
Illinois
(2/3/2025)
RR
Indiana
(2/3/2025)
RR
Iowa
(2/3/2025)
RR
Kansas
(2/3/2025)
RR
Kentucky
(2/3/2025)
RR
Louisiana
(2/3/2025)
RR
Maine
(12/22/2021)
RR
Maryland
(2/3/2025)
RR
Massachusetts
(12/22/2021)
RR
Michigan
(2/3/2025)
RR
Minnesota
(2/3/2025)
RR
Mississippi
(2/3/2025)
RR
Missouri
(2/3/2025)
RR
Montana
(2/3/2025)
RR
Nebraska
(2/3/2025)
RR
Nevada
(2/3/2025)
RR
New Hampshire
(12/22/2021)
RR
New Jersey
(2/3/2025)
RR
New Mexico
(2/3/2025)
RR
New York
(12/22/2021)
RR
North Carolina
(2/6/2025)
RR
North Dakota
(2/3/2025)
RR
Ohio
(2/3/2025)
RR
Oklahoma
(2/3/2025)
RR
Oregon
(2/3/2025)
RR
Pennsylvania
(2/3/2025)
RR
Rhode Island
(12/22/2021)
RR
South Carolina
(2/3/2025)
RR
South Dakota
(2/3/2025)
RR
Tennessee
(2/3/2025)
RR
Texas
(2/3/2025)
RR
Utah
(2/3/2025)
RR
Vermont
(12/22/2021)
RR
Virginia
(2/3/2025)
RR
Washington
(2/3/2025)
RR
West Virginia
(2/3/2025)
RR
Wisconsin
(2/3/2025)
RR
Wyoming
(2/3/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/8/2005
Uniform Combined 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: 11/16/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/21/2013
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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