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ML

Miles D. Littlefield

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6094490
ML

Professional summary

Miles D Littlefield, who also goes by Miles Dufy Littlefield, is a registered financial professional currently at BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC located in Chicago, Illinois.

Miles is registered as a RR (Registered Representative) and started their career in finance in 2012. Miles has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Miles Dufy Littlefield

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 Miles D Littlefield'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

March 11, 2024 - Present

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC

Office #1: 110 N. Wacker Drive Suite 2700, Chicago, IL 60606
BD
CRD#: 313390
Chicago, IL
Past

May 14, 2021 - October 12, 2023

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
CHICAGO, IL
Past

January 25, 2016 - April 1, 2021

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

July 1, 2013 - February 2, 2015

STEPHENS

BD
CRD#: 3496
NEW YORK, NY
Past

September 21, 2012 - March 8, 2013

UBS SECURITIES LLC

BD
CRD#: 7654
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
(3/11/2024)
RR
Alaska
(3/11/2024)
RR
Arizona
(3/11/2024)
RR
Arkansas
(3/11/2024)
RR
California
(3/11/2024)
RR
Colorado
(3/11/2024)
RR
Connecticut
(3/11/2024)
RR
Delaware
(3/11/2024)
RR
District of Columbia
(3/11/2024)
RR
Florida
(3/11/2024)
RR
Georgia
(3/11/2024)
RR
Hawaii
(3/11/2024)
RR
Idaho
(3/11/2024)
RR
Illinois
(3/11/2024)
RR
Indiana
(3/11/2024)
RR
Iowa
(3/11/2024)
RR
Kansas
(3/11/2024)
RR
Kentucky
(3/11/2024)
RR
Louisiana
(3/11/2024)
RR
Maine
(3/11/2024)
RR
Maryland
(3/11/2024)
RR
Massachusetts
(3/11/2024)
RR
Michigan
(3/11/2024)
RR
Minnesota
(3/11/2024)
RR
Mississippi
(3/11/2024)
RR
Missouri
(3/11/2024)
RR
Montana
(3/11/2024)
RR
Nebraska
(3/11/2024)
RR
Nevada
(3/11/2024)
RR
New Hampshire
(3/11/2024)
RR
New Jersey
(3/11/2024)
RR
New Mexico
(3/11/2024)
RR
New York
(3/11/2024)
RR
North Carolina
(3/11/2024)
RR
North Dakota
(3/11/2024)
RR
Ohio
(3/11/2024)
RR
Oklahoma
(3/11/2024)
RR
Oregon
(3/11/2024)
RR
Pennsylvania
(3/11/2024)
RR
Rhode Island
(3/11/2024)
RR
South Carolina
(3/11/2024)
RR
South Dakota
(3/11/2024)
RR
Tennessee
(3/11/2024)
RR
Texas
(3/11/2024)
RR
Utah
(3/11/2024)
RR
Vermont
(3/11/2024)
RR
Virginia
(3/11/2024)
RR
Washington
(3/11/2024)
RR
West Virginia
(3/11/2024)
RR
Wisconsin
(3/11/2024)
RR
Wyoming
(3/11/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/26/2012
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: 3/2/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 9/20/2012
Investment Banking Registered 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#: 313390Chicago, IL 60606

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