Allison C. Williams
Professional summary
Allison Catherine Williams, CFP®, who also goes by Allison C Searles, Allison Catherine Searles, is a registered financial professional currently at BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC located in New York, New York.
Allison is registered as a RR (Registered Representative) and started their career in finance in 2010. Allison has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Allison Catherine Williams's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2016
Experience
December 22, 2021 - Present
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
Office #1: 225 Liberty Street 35th Floor, New York, NY 10281March 12, 2021 - December 22, 2021
BROOKFIELD PRIVATE ADVISORS LLC
October 10, 2019 - December 22, 2021
INDEPENDENT BROKERAGE SOLUTIONS LLC
February 5, 2018 - December 31, 2021
QUASAR DISTRIBUTORS, LLC
September 6, 2010 - February 2, 2018
HRC FUND ASSOCIATES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/30/2025)
(12/22/2021)
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(12/22/2021)
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(1/31/2025)
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(1/4/2022)
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(12/22/2021)
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Exams
FINRA
Current Firm
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
CRD#: 313390 / SEC#: , 8-70722
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Red Flags
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