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

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
PW

Phillip R. Williams

BROOKFIELD PRIVATE ADVISORS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5668809
PW
Phillip Robert WilliamsBROOKFIELD PRIVATE ADVISORS

Professional summary

Phillip Robert Williams, who also goes by Phillip R Williams, Phillip Robert Williams, is a registered financial professional currently at BROOKFIELD PRIVATE ADVISORS LLC located in Chicago, Illinois.

Phillip is registered as a RR (Registered Representative) and started their career in finance in 2011. Phillip has worked at 7 firms and has passed the Series 66, Series 3, SIE and Series 7 exams.

Aliases

Phillip R Williams | Phillip Robert Williams

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 Phillip Robert Williams'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

September 11, 2026 - Present

BROOKFIELD PRIVATE ADVISORS LLC

Office #1: 110 North Wacker Drive Suite 2700, Chicago, IL 60606
BD
CRD#: 151423
Chicago, IL
Past

August 2, 2022 - August 17, 2026

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
CHICAGO, IL
Past

August 2, 2022 - August 17, 2026

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
CHICAGO, IL
Past

October 22, 2020 - December 21, 2021

UBS SECURITIES LLC

BD
CRD#: 7654
CHICAGO, IL
Past

October 16, 2020 - July 22, 2022

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CHICAGO, IL
Past

October 16, 2020 - July 22, 2022

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CHICAGO, IL
Past

January 16, 2014 - October 14, 2020

MORGAN STANLEY

RIA
CRD#: 149777
Chicago, IL
Past

January 16, 2014 - October 14, 2020

MORGAN STANLEY

BD
CRD#: 149777
Chicago, IL
Past

May 2, 2011 - December 23, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHICAGO, IL
Past

February 17, 2011 - December 23, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHICAGO, IL

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
(9/11/2026)
RR
Alaska
(9/11/2026)
RR
Arizona
(9/11/2026)
RR
Arkansas
(9/11/2026)
RR
California
(9/11/2026)
RR
Colorado
(9/11/2026)
RR
Connecticut
(9/11/2026)
RR
Delaware
(9/11/2026)
RR
District of Columbia
(9/11/2026)
RR
Florida
(9/11/2026)
RR
Georgia
(9/11/2026)
RR
Hawaii
(9/11/2026)
RR
Idaho
(9/11/2026)
RR
Illinois
(9/11/2026)
RR
Indiana
(9/11/2026)
RR
Iowa
(9/11/2026)
RR
Kansas
(9/11/2026)
RR
Kentucky
(9/11/2026)
RR
Louisiana
(9/11/2026)
RR
Maine
(9/11/2026)
RR
Maryland
(9/11/2026)
RR
Massachusetts
(9/11/2026)
RR
Michigan
(9/11/2026)
RR
Minnesota
(9/11/2026)
RR
Mississippi
(9/11/2026)
RR
Missouri
(9/11/2026)
RR
Montana
(9/11/2026)
RR
Nebraska
(9/11/2026)
RR
Nevada
(9/11/2026)
RR
New Hampshire
(9/11/2026)
RR
New Jersey
(9/11/2026)
RR
New Mexico
(9/11/2026)
RR
New York
(9/11/2026)
RR
North Carolina
(9/11/2026)
RR
North Dakota
(9/11/2026)
RR
Ohio
(9/11/2026)
RR
Oklahoma
(9/11/2026)
RR
Oregon
(9/11/2026)
RR
Pennsylvania
(9/11/2026)
RR
Rhode Island
(9/11/2026)
RR
South Carolina
(9/11/2026)
RR
South Dakota
(9/11/2026)
RR
Tennessee
(9/11/2026)
RR
Texas
(9/11/2026)
RR
Utah
(9/11/2026)
RR
Vermont
(9/11/2026)
RR
Virginia
(9/11/2026)
RR
Washington
(9/11/2026)
RR
West Virginia
(9/11/2026)
RR
Wisconsin
(9/11/2026)
RR
Wyoming
(9/11/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/29/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 1/6/2025
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/16/2011
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)
Loading...

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#: 151423Chicago, IL 60606

TRUST BUT VERIFY

Monitor Phillip Williams

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

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
CHICAGO, IL
Jaime Rafael Villalobos
Jaime VillalobosAdvisorCheck Check Mark
WILLIAM BLAIR
IAR
RR
CHICAGO, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.