AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KP

Kimberly Pine

BROOKFIELD PRIVATE ADVISORS
NEW YORK, NY 10281-1048
Some features on this profile are disabled
CRD#: 7706622
KP

Professional summary

Kimberly Pine, who also goes by Kimberly Ann Pine M.s., Kimberly Ann Pine, is a registered financial professional currently at BROOKFIELD PRIVATE ADVISORS LLC located in New York, New York.

Kimberly is registered as a RR (Registered Representative) and started their career in finance in 2023. Kimberly has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kimberly Ann Pine M.s. | Kimberly Ann Pine

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 Kimberly Pine'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

March 24, 2026 - Present

BROOKFIELD PRIVATE ADVISORS LLC

Office #1: Brookfield Place 225 Liberty Street 8th Floor, New York, NY, 10281-1048
BD
CRD#: 151423
NEW YORK, NY
Past

January 3, 2025 - March 24, 2026

UMERGENCE LLC

BD
CRD#: 284368
PLANTSVILLE, CT
Past

April 18, 2023 - January 2, 2025

SIGNET SECURITIES, LLC

BD
CRD#: 154198
COLUMBUS, OH

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
(3/24/2026)
RR
Alaska
(3/24/2026)
RR
Arizona
(3/24/2026)
RR
Arkansas
(3/24/2026)
RR
California
(3/24/2026)
RR
Colorado
(3/24/2026)
RR
Connecticut
(3/24/2026)
RR
Delaware
(3/24/2026)
RR
District of Columbia
(3/24/2026)
RR
Florida
(3/24/2026)
RR
Georgia
(3/24/2026)
RR
Hawaii
(3/24/2026)
RR
Idaho
(3/24/2026)
RR
Illinois
(3/24/2026)
RR
Indiana
(3/24/2026)
RR
Iowa
(3/24/2026)
RR
Kansas
(3/24/2026)
RR
Kentucky
(3/24/2026)
RR
Louisiana
(3/24/2026)
RR
Maine
(3/24/2026)
RR
Maryland
(3/24/2026)
RR
Massachusetts
(3/24/2026)
RR
Michigan
(3/24/2026)
RR
Minnesota
(3/24/2026)
RR
Mississippi
(3/24/2026)
RR
Missouri
(3/24/2026)
RR
Montana
(3/24/2026)
RR
Nebraska
(3/24/2026)
RR
Nevada
(3/24/2026)
RR
New Hampshire
(3/24/2026)
RR
New Jersey
(3/24/2026)
RR
New Mexico
(3/24/2026)
RR
New York
(3/24/2026)
RR
North Carolina
(3/25/2026)
RR
North Dakota
(3/24/2026)
RR
Ohio
(3/24/2026)
RR
Oklahoma
(3/24/2026)
RR
Oregon
(3/24/2026)
RR
Pennsylvania
(3/24/2026)
RR
Rhode Island
(3/24/2026)
RR
South Carolina
(3/24/2026)
RR
South Dakota
(3/24/2026)
RR
Tennessee
(3/24/2026)
RR
Texas
(3/24/2026)
RR
Utah
(3/24/2026)
RR
Vermont
(3/24/2026)
RR
Virginia
(3/24/2026)
RR
Washington
(3/24/2026)
RR
West Virginia
(3/24/2026)
RR
Wisconsin
(3/24/2026)
RR
Wyoming
(3/24/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/12/2023
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/18/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/5/2022
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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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 10281-1048

TRUST BUT VERIFY

Monitor Kimberly Pine

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
PR
MINNEAPOLIS, MN
Elizabeth Katz Miller
Elizabeth MillerAdvisorCheck Check Mark
SUMMIT PLACE FINANCIAL ADVISORS, LLC
IAR
Summit, NJ
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.