BB
Barbara A. Borozan
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
New York, NY 10281
Some features on this profile are disabled
CRD#: 5310722
BB
Professional summary
Barbara Alexandra Borozan, who also goes by Barbara A Borozan, is a registered financial professional currently at BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC located in New York, New York.
Barbara is registered as a RR (Registered Representative) and started their career in finance in 2009. Barbara has worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Barbara A Borozan
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.
CRS (Client Relationship Summary) - BD
Click below to view Barbara Alexandra Borozan's 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®
NoneExperience
Current
December 22, 2021 - Present
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
Office #1: 225 Liberty Street 35th Floor, New York, NY 10281BD
CRD#: 313390
New York, NY
Past
June 21, 2019 - December 22, 2021
BROOKFIELD PRIVATE ADVISORS LLC
BD
CRD#: 151423
NEW YORK, NY
Past
September 30, 2014 - March 24, 2017
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
August 17, 2009 - June 16, 2014
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, 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(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(4/7/2022)
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
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Direct owners and executive officers
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.
