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CO

Colin W. Oberg

BROOKFIELD PRIVATE ADVISORS LLC
NEW YORK, NY 10281-1021
Some features on this profile are disabled
CRD#: 6483824
CO

Professional summary

Colin Whiffen Oberg is a registered financial professional currently at BROOKFIELD PRIVATE ADVISORS LLC located in New York, New York.

Colin is registered as a RR (Registered Representative) and started their career in finance in 2019. Colin has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Colin Whiffen Oberg'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

May 1, 2024 - Present

BROOKFIELD PRIVATE ADVISORS LLC

Office #1: Brookfield Place 250 Vesey Street 15th Floor, New York, NY, 10281-1021
BD
CRD#: 151423
NEW YORK, NY
Past

May 24, 2019 - April 1, 2024

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
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
New York
(5/1/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/2/2023
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/24/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/27/2019
Securities Industry Essentials 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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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#: 151423New York, NY 10281-1021

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