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Leonard Edward Spears

Brookfield Oaktree Wealth Solutions LLC

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About Leonard Edward Spears

Leonard Edward Spears is a registered representative and financial advisor at Brookfield Oaktree Wealth Solutions LLC. Leonard has over 23 years of experience in the financial services industry, having previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Banc of America Investment Services, Inc.. Leonard holds a Series 7, Series 10, Series 24, and Series 66 license. Leonard has extensive experience in providing investment advice to individuals, families, and businesses. Leonard has a strong commitment to providing personalized service and helping his clients achieve their financial goals.

Firm Information

Leonard Spears 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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Leonard Spears’s Registration & Firm History

NY

09/13/2023 - Present

Brookfield Oaktree Wealth Solutions LLC (New York NY)

SC

10/23/2009 - 09/01/2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (COLUMBIA SC)

NC

06/03/1999 - 10/23/2009

BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)

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Licenses & Designations

BOTH

Issued 06/07/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/08/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 06/12/2006

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/02/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Leonard Edward Spears.
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