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GL

Gloria S. Lee

BROOKFIELD PRIVATE ADVISORS
Los Angeles, CA 90071
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CRD#: 5644401
GL
Gloria Seungyi LeeBROOKFIELD PRIVATE ADVISORS

Professional summary

Gloria Seungyi Lee, who also goes by Gloria Seungyi Hur, Gloria Hur, is a registered financial professional currently at BROOKFIELD PRIVATE ADVISORS LLC located in Los Angeles, California.

Gloria is registered as a RR (Registered Representative) and started their career in finance in 2011. Gloria has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Aliases

Gloria Seungyi Hur | Gloria Hur

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 Gloria Seungyi Lee'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®
None

Experience

Current

August 14, 2026 - Present

BROOKFIELD PRIVATE ADVISORS LLC

Office #1: 333 South Grand Avenue 28th Fl, Los Angeles, CA 90071
BD
CRD#: 151423
Los Angeles, CA
Past

October 31, 2022 - August 14, 2026

OCM INVESTMENTS, LLC

BD
CRD#: 128803
LOS ANGELES, CA
Past

September 11, 2018 - October 13, 2022

ARES MANAGEMENT CAPITAL MARKETS LLC

BD
CRD#: 166219
DENVER, CO
Past

August 21, 2013 - August 21, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
LOS ANGELES, CA
Past

August 19, 2013 - August 21, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
LOS ANGELES, CA
Past

November 28, 2012 - August 6, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
LOS ANGELES, CA
Past

November 28, 2012 - August 6, 2013

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
LOS ANGELES, CA
Past

August 12, 2011 - January 3, 2013

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
LOS ANGELES, CA

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
California
(8/14/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/31/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/18/2012
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: 8/11/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BP
BROOKFIELD PRIVATE ADVISORS LLC
BROOKFIELD FINANCIAL | GLOBAL CLIENT GROUP | BROOKFIELD PRIVATE ADVISORS LLC | BROOKFIELD FINANCIAL US, LLC

CRD#: 151423 / SEC#: , 8-68370

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
Brookfield Place 250 Vesey Street 15th Floor, New York, NY, 10281-1021
Mailing Address
Brookfield Place 250 Vesey Street 15th Floor, New York, NY, 10281-1021
Phone number
(212) 417-7000
Established
Delaware since 07/21/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
BROOKFIELD US INC.MEMBER
BECK, RAFAELCFO & FINANCIAL OPERATIONS PRINCIPAL5718571
LEVI, DAVID WILLIAMCEO AND DIRECTOR2387908
SELIG, PHILIP SCOTTCHIEF COMPLIANCE OFFICER4593048
SRULOWITZ, MARKDIRECTOR6555246

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 PRIVATE ADVISORS LLC

CRD#: 151423Los Angeles, CA 90071

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