Brendan M. Carroll
Professional summary
Brendan Martin Carroll, who also goes by Brendan M Carroll, Brendan Carroll, is a registered financial professional currently at BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC located in New York, New York.
Brendan is registered as a RR (Registered Representative) and started their career in finance in 2020. Brendan has worked at 3 firms and has passed the Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brendan Martin Carroll's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 6, 2025 - Present
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
Office #1: 225 Liberty Street 35th Floor, New York, NY 10281July 21, 2023 - June 18, 2025
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
November 20, 2020 - July 7, 2023
ADP BROKER-DEALER, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 7TO
Date: 8/10/2023
General Securities Representative ExaminationSeries 6TO
Date: 11/20/2020
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
CRD#: 313390 / SEC#: , 8-70722
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Red Flags
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