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JS

John R. Stagno

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
New York, NY 10281
Some features on this profile are disabled
CRD#: 5186619
JS

Professional summary

John R Stagno, who also goes by John Richard Stagno, is a registered financial professional currently at BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 2007. John has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Richard Stagno

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 John R Stagno'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

March 12, 2021 - December 22, 2021

BROOKFIELD PRIVATE ADVISORS LLC

BD
CRD#: 151423
New York, NY
Past

October 10, 2019 - December 22, 2021

INDEPENDENT BROKERAGE SOLUTIONS LLC

BD
CRD#: 153563
NEW YORK, NY
Past

February 5, 2018 - December 31, 2021

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
New York, NY
Past

April 2, 2008 - February 2, 2018

HRC FUND ASSOCIATES, LLC

BD
CRD#: 142846
NEW YORK, NY
Past

March 10, 2008 - March 31, 2008

PCS SECURITIES, INC.

BD
CRD#: 47588
NEW YORK, NY
Past

May 8, 2007 - July 18, 2007

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

January 12, 2007 - February 27, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
HARRISON, 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
(12/22/2021)
RR
Alaska
(2/3/2025)
RR
Arizona
(2/3/2025)
RR
Arkansas
(1/4/2022)
RR
California
(2/3/2025)
RR
Colorado
(2/3/2025)
RR
Connecticut
(2/3/2025)
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
(1/4/2022)
RR
Maine
(2/3/2025)
RR
Maryland
(2/3/2025)
RR
Massachusetts
(2/3/2025)
RR
Michigan
(2/3/2025)
RR
Minnesota
(2/3/2025)
RR
Mississippi
(12/22/2021)
RR
Missouri
(2/3/2025)
RR
Montana
(2/3/2025)
RR
Nebraska
(2/3/2025)
RR
Nevada
(2/3/2025)
RR
New Hampshire
(2/3/2025)
RR
New Jersey
(2/3/2025)
RR
New Mexico
(1/4/2022)
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
(12/22/2021)
RR
Oregon
(2/3/2025)
RR
Pennsylvania
(2/3/2025)
RR
Rhode Island
(2/3/2025)
RR
South Carolina
(2/3/2025)
RR
South Dakota
(2/3/2025)
RR
Tennessee
(12/22/2021)
RR
Texas
(12/22/2021)
RR
Utah
(2/3/2025)
RR
Vermont
(2/3/2025)
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: 1/22/2007
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: 1/11/2007
General Securities Representative 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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