AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MM

Michael P. Manning

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 5079225
MM

Professional summary

Michael Peter Manning is a registered financial professional currently at BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC located in Los Angeles, California.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2006. Michael has worked at 5 firms and has passed the Series 63, Series 31, 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 Michael Peter Manning'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

August 13, 2025 - Present

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC

Office #1: 333 South Grand Avenue 28th Floor, Los Angeles, CA 90071
BD
CRD#: 313390
Los Angeles, CA
Past

February 14, 2011 - August 6, 2025

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA
Past

February 19, 2008 - January 9, 2009

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC
Past

October 24, 2006 - February 6, 2008

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

February 15, 2006 - October 2, 2006

AMG DISTRIBUTORS, INC.

BD
CRD#: 27314
STAMFORD, CT

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
(8/13/2025)
RR
Alaska
(8/13/2025)
RR
Arizona
(8/13/2025)
RR
Arkansas
(8/13/2025)
RR
California
(8/13/2025)
RR
Colorado
(8/13/2025)
RR
Connecticut
(8/13/2025)
RR
Delaware
(8/13/2025)
RR
District of Columbia
(8/13/2025)
RR
Florida
(8/13/2025)
RR
Georgia
(8/13/2025)
RR
Hawaii
(8/13/2025)
RR
Idaho
(8/13/2025)
RR
Illinois
(8/13/2025)
RR
Indiana
(8/13/2025)
RR
Iowa
(8/13/2025)
RR
Kansas
(8/13/2025)
RR
Kentucky
(8/13/2025)
RR
Louisiana
(8/13/2025)
RR
Maine
(8/13/2025)
RR
Maryland
(8/13/2025)
RR
Massachusetts
(8/13/2025)
RR
Michigan
(8/13/2025)
RR
Minnesota
(8/13/2025)
RR
Mississippi
(8/13/2025)
RR
Missouri
(8/13/2025)
RR
Montana
(8/13/2025)
RR
Nebraska
(8/13/2025)
RR
Nevada
(8/13/2025)
RR
New Hampshire
(8/13/2025)
RR
New Jersey
(8/13/2025)
RR
New Mexico
(8/13/2025)
RR
New York
(8/13/2025)
RR
North Carolina
(8/13/2025)
RR
North Dakota
(8/13/2025)
RR
Ohio
(8/13/2025)
RR
Oklahoma
(8/13/2025)
RR
Oregon
(8/13/2025)
RR
Pennsylvania
(8/13/2025)
RR
Rhode Island
(8/13/2025)
RR
South Carolina
(8/13/2025)
RR
South Dakota
(8/13/2025)
RR
Tennessee
(8/13/2025)
RR
Texas
(8/13/2025)
RR
Utah
(8/13/2025)
RR
Vermont
(8/13/2025)
RR
Virginia
(8/13/2025)
RR
Washington
(8/13/2025)
RR
West Virginia
(8/13/2025)
RR
Wisconsin
(8/13/2025)
RR
Wyoming
(8/13/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/9/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 12/3/2018
Futures Managed Funds Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/14/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/12/2018
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 313390Los Angeles, CA 90071

TRUST BUT VERIFY

Monitor Michael Manning

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Jon Derek Neuhaus
Jon NeuhausAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
El Segundo, CA
Kenneth Hickman
Kenneth HickmanAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brea, CA
John Tanner Powell
John PowellAdvisorCheck Check Mark
EQUITABLE ADVISORS, LLC
IAR
RR
Los Angeles, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics