CV
Cara Vaughn
BROOKFIELD PRIVATE ADVISORS LLC
NEW YORK, NY 10281-1021
Some features on this profile are disabled
CRD#: 6814773
CV
Professional summary
Cara Vaughn, who also goes by Cara C Obrien, Cara Obrien, is a registered financial professional currently at BROOKFIELD PRIVATE ADVISORS LLC located in New York, New York.
Cara is registered as a RR (Registered Representative) and started their career in finance in 2018. Cara has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Cara C Obrien | Cara Obrien
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.
CRS (Client Relationship Summary) - BD
Click below to view Cara Vaughn'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®
NoneExperience
Current
July 27, 2021 - Present
BROOKFIELD PRIVATE ADVISORS LLC
Office #1: Brookfield Place 250 Vesey Street 15th Floor, New York, NY, 10281-1021BD
CRD#: 151423
NEW YORK, NY
Past
August 28, 2018 - August 6, 2021
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
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(7/27/2021)
RR
Alaska(7/27/2021)
RR
Arizona(7/27/2021)
RR
Arkansas(7/27/2021)
RR
California(7/27/2021)
RR
Colorado(7/27/2021)
RR
Connecticut(7/27/2021)
RR
Delaware(7/27/2021)
RR
District of Columbia(7/27/2021)
RR
Florida(7/27/2021)
RR
Georgia(7/27/2021)
RR
Hawaii(7/27/2021)
RR
Idaho(7/27/2021)
RR
Illinois(7/27/2021)
RR
Indiana(7/27/2021)
RR
Iowa(7/27/2021)
RR
Kansas(7/27/2021)
RR
Kentucky(7/27/2021)
RR
Louisiana(7/27/2021)
RR
Maine(7/27/2021)
RR
Maryland(7/27/2021)
RR
Massachusetts(7/27/2021)
RR
Michigan(7/27/2021)
RR
Minnesota(7/27/2021)
RR
Mississippi(7/27/2021)
RR
Missouri(7/27/2021)
RR
Montana(7/27/2021)
RR
Nebraska(7/27/2021)
RR
Nevada(7/27/2021)
RR
New Hampshire(7/27/2021)
RR
New Jersey(7/27/2021)
RR
New Mexico(7/27/2021)
RR
New York(7/27/2021)
RR
North Carolina(7/27/2021)
RR
North Dakota(7/27/2021)
RR
Ohio(7/27/2021)
RR
Oklahoma(7/27/2021)
RR
Oregon(7/27/2021)
RR
Pennsylvania(7/27/2021)
RR
Rhode Island(7/27/2021)
RR
South Carolina(7/27/2021)
RR
South Dakota(7/27/2021)
RR
Tennessee(7/27/2021)
RR
Texas(7/27/2021)
RR
Utah(7/27/2021)
RR
Vermont(7/27/2021)
RR
Virginia(7/27/2021)
RR
Washington(7/27/2021)
RR
West Virginia(7/27/2021)
RR
Wisconsin(7/27/2021)
RR
Wyoming(7/27/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
