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ML

Michelle Y. Lai

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
New York, NY 10281
Some features on this profile are disabled
CRD#: 7576309
ML

Professional summary

Michelle Ying Lai is a registered financial professional currently at BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC located in New York, New York.

Michelle is registered as a RR (Registered Representative) and started their career in finance in 2023. Michelle has worked at 2 firms and has passed the Series 63, Series 79TO 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 Michelle Ying Lai'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

May 6, 2025 - Present

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC

Office #1: 225 Liberty Street 35th Floor, New York, NY 10281
BD
CRD#: 313390
New York, NY
Past

August 29, 2023 - September 24, 2024

BOFA SECURITIES, INC.

BD
CRD#: 283942
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
(5/6/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/26/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/29/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/28/2023
Securities Industry Essentials 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#: 313390New York, NY 10281

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