BB
Briana Backes
BROOKFIELD PRIVATE WEALTH LLC
New York, NY 10281
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CRD#: 7001352
BB
Professional summary
Briana Backes is a registered financial professional currently at BROOKFIELD PRIVATE WEALTH LLC located in New York, New York.
Briana is registered as a RR (Registered Representative) and started their career in finance in 2018. Briana has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Briana Backes'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
January 12, 2023 - Present
BROOKFIELD PRIVATE WEALTH LLC
Office #1: 225 Liberty Street 35th Floor, New York, NY 10281BD
CRD#: 313390
New York, NY
Past
December 15, 2021 - May 10, 2022
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
New York, NY
Past
July 30, 2019 - October 21, 2021
LORD, ABBETT & CO. LLC
RIA
CRD#: 110391
JERSEY CITY, NJ
Past
July 29, 2019 - October 21, 2021
LORD ABBETT DISTRIBUTOR LLC
BD
CRD#: 530
JERSEY CITY, NJ
Past
August 28, 2018 - November 20, 2018
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
PRINCETON, NJ
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(1/30/2025)
RR
Alaska(12/15/2023)
RR
Arizona(1/30/2025)
RR
Arkansas(1/30/2025)
RR
California(12/15/2023)
RR
Colorado(12/15/2023)
RR
Connecticut(1/30/2025)
RR
Delaware(1/30/2025)
RR
District of Columbia(12/15/2023)
RR
Florida(1/30/2025)
RR
Georgia(1/30/2025)
RR
Hawaii(1/30/2025)
RR
Idaho(12/15/2023)
RR
Illinois(1/30/2025)
RR
Indiana(1/30/2025)
RR
Iowa(1/30/2025)
RR
Kansas(1/30/2025)
RR
Kentucky(1/30/2025)
RR
Louisiana(1/30/2025)
RR
Maine(1/30/2025)
RR
Maryland(12/15/2023)
RR
Massachusetts(1/30/2025)
RR
Michigan(1/30/2025)
RR
Minnesota(1/30/2025)
RR
Mississippi(1/30/2025)
RR
Missouri(1/30/2025)
RR
Montana(12/15/2023)
RR
Nebraska(1/30/2025)
RR
Nevada(1/30/2025)
RR
New Hampshire(1/30/2025)
RR
New Jersey(12/15/2023)
RR
New Mexico(1/30/2025)
RR
New York(1/14/2023)
RR
North Carolina(1/31/2025)
RR
North Dakota(1/30/2025)
RR
Ohio(1/30/2025)
RR
Oklahoma(1/30/2025)
RR
Oregon(12/15/2023)
RR
Pennsylvania(12/15/2023)
RR
Rhode Island(1/30/2025)
RR
South Carolina(1/30/2025)
RR
South Dakota(1/30/2025)
RR
Tennessee(1/30/2025)
RR
Texas(1/30/2025)
RR
Utah(1/30/2025)
RR
Vermont(1/30/2025)
RR
Virginia(12/15/2023)
RR
Washington(12/15/2023)
RR
West Virginia(12/15/2023)
RR
Wisconsin(1/30/2025)
RR
Wyoming(12/15/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BP
BROOKFIELD PRIVATE WEALTH LLC
BROOKFIELD OAKTREE DISTRIBUTORS LLC | BROOKFIELD PRIVATE WEALTH 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)
Direct owners and executive officers
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
