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John Michael Sweeney

Brookfield Oaktree Wealth Solutions LLC

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About John Michael Sweeney

John Michael Sweeney is a financial professional with over 25 years of experience in the industry. Currently registered with Brookfield Oaktree Wealth Solutions LLC, John has a diverse background, having previously worked with firms such as Brookfield Private Advisors LLC, Independent Brokerage Solutions LLC, and Morgan Stanley. John is a Series 7, 24, 30, 63, and SIE licensed representative, and holds a Series 79TO license. John is registered in 53 states and holds a branch manager license. John is dedicated to providing clients with comprehensive financial advice and guidance.

Firm Information

John Sweeney is currently registered with Brookfield Oaktree Wealth Solutions LLC. Brookfield Oaktree Wealth Solutions LLC is a Limited Liability Company formed on February 4, 2021. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

9

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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John Sweeney’s Registration & Firm History

NY

09/23/2021 - Present

Brookfield Oaktree Wealth Solutions LLC (New York NY)

NY

03/11/2021 - 12/22/2021

BROOKFIELD PRIVATE ADVISORS LLC (New York NY)

NY

06/19/2018 - 12/22/2021

INDEPENDENT BROKERAGE SOLUTIONS LLC (NEW YORK NY)

NY

05/09/2013 - 11/24/2021

OCM INVESTMENTS, LLC (NEW YORK NY)

ME

01/05/2015 - 05/22/2015

QUASAR DISTRIBUTORS, LLC (PORTLAND ME)

NY

06/01/2009 - 05/31/2013

MORGAN STANLEY (PURCHASE NY)

NY

05/21/2007 - 06/01/2009

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

09/14/2005 - 05/26/2006

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

NY

01/30/1996 - 05/24/2006

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 04/08/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/29/2014

Series 30 - NFA Branch Manager Examination

BC

Issued 12/20/2004

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/29/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Michael Sweeney.
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