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BN

Bernard F. Norton

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
Boulder, CO 80302
Some features on this profile are disabled
CRD#: 4947281
BN

Professional summary

Bernard Francis Norton III, who also goes by Bernard Francis Norton III, Bernard Norton, Bernard Francis Norton, is a registered financial professional currently at BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC located in Boulder, Colorado.

Bernard is registered as a RR (Registered Representative) and started their career in finance in 2006. Bernard has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bernard Francis Norton Iii | Bernard Norton | Bernard Francis Norton

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 Bernard Francis Norton III'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: 1434 Spruce Street, Suite 100, Boulder, CO 80302
BD
CRD#: 313390
Boulder, CO
Past

February 7, 2019 - December 31, 2021

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

February 6, 2019 - December 22, 2021

BROOKFIELD PRIVATE ADVISORS LLC

BD
CRD#: 151423
Chicago, IL
Past

December 17, 2015 - January 16, 2019

BMO INVESTMENT DISTRIBUTORS, LLC

BD
CRD#: 146711
BOULDER, CO
Past

January 3, 2012 - December 16, 2015

PACIFIC CURRENT GROUP

BD
CRD#: 156263
DENVER, CO
Past

July 14, 2011 - August 30, 2012

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

December 15, 2006 - May 16, 2011

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO

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
(12/22/2021)
RR
Alaska
(12/22/2021)
RR
Arizona
(12/22/2021)
RR
Arkansas
(12/22/2021)
RR
California
(12/22/2021)
RR
Colorado
(12/22/2021)
RR
Connecticut
(12/22/2021)
RR
Delaware
(12/22/2021)
RR
District of Columbia
(12/22/2021)
RR
Florida
(1/24/2022)
RR
Georgia
(12/22/2021)
RR
Hawaii
(12/22/2021)
RR
Idaho
(12/22/2021)
RR
Illinois
(12/22/2021)
RR
Indiana
(12/22/2021)
RR
Iowa
(12/22/2021)
RR
Kansas
(12/22/2021)
RR
Kentucky
(12/22/2021)
RR
Louisiana
(12/22/2021)
RR
Maine
(12/22/2021)
RR
Maryland
(12/22/2021)
RR
Massachusetts
(12/22/2021)
RR
Michigan
(12/22/2021)
RR
Minnesota
(12/22/2021)
RR
Mississippi
(12/22/2021)
RR
Missouri
(12/22/2021)
RR
Montana
(12/22/2021)
RR
Nebraska
(12/22/2021)
RR
Nevada
(12/22/2021)
RR
New Hampshire
(12/22/2021)
RR
New Jersey
(12/22/2021)
RR
New Mexico
(12/22/2021)
RR
New York
(12/22/2021)
RR
North Carolina
(12/22/2021)
RR
North Dakota
(12/22/2021)
RR
Ohio
(12/22/2021)
RR
Oklahoma
(12/22/2021)
RR
Oregon
(12/22/2021)
RR
Pennsylvania
(12/22/2021)
RR
Rhode Island
(12/22/2021)
RR
South Carolina
(12/22/2021)
RR
South Dakota
(12/22/2021)
RR
Tennessee
(12/22/2021)
RR
Texas
(12/22/2021)
RR
Utah
(12/22/2021)
RR
Vermont
(12/22/2021)
RR
Virginia
(12/22/2021)
RR
Washington
(12/22/2021)
RR
West Virginia
(12/22/2021)
RR
Wisconsin
(12/22/2021)
RR
Wyoming
(12/22/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 9/16/2011
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: 12/14/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/24/2021
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#: 313390Boulder, CO 80302

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