Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

OCM INVESTMENTS, LLC
128803
OCM INVESTMENTS, LLC
128803
OCM INVESTMENTS, LLC
128803
OCM INVESTMENTS, LLC
128803
NONE
NONE
OCM INVESTMENTS, LLC
128803
NONE
NONE
OCM INVESTMENTS, LLC
128803
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2022-07-13
D/A
$1,371,825.00
Yes
$0.00
No
OCM INVESTMENTS, LLC (CRD 128803, 333 S. GRAND AVE, 28 FL, LOS ANGELES, CA 90071) AND BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC (CRD 313390, 225 LIBERTY ST, 43 FL, NY, NY 10281), WILL PLACE THE INVESTMENTS BUT NEITHER IS ANTICIPATED TO RECEIVE COMMISSIONS.
2022-07-13
D/A
$1,371,825.00
Yes
$0.00
No
OCM INVESTMENTS, LLC (CRD 128803, 333 S. GRAND AVE, 28 FL, LOS ANGELES, CA 90071) AND BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC (CRD 313390, 225 LIBERTY ST, 43 FL, NY, NY 10281), WILL PLACE THE INVESTMENTS BUT NEITHER IS ANTICIPATED TO RECEIVE COMMISSIONS.
2022-07-13
D/A
$1,371,825.00
Yes
$0.00
No
OCM INVESTMENTS, LLC (CRD 128803, 333 S. GRAND AVE, 28 FL, LOS ANGELES, CA 90071) AND BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC (CRD 313390, 225 LIBERTY ST, 43 FL, NY, NY 10281), WILL PLACE THE INVESTMENTS BUT NEITHER IS ANTICIPATED TO RECEIVE COMMISSIONS.
2021-03-02
D/A
$0.00
Yes
$0.00
Yes
FEE COMPENSATION WILL ULTIMATELY BE BORNE BY THE GP AND ITS AFFILIATES AND NOT BY THE ISSUER-S INVESTORS. OCM INVESTMENTS, LLC WILL PLACE THE INVESTMENTS BUT IS NOT ANTICIPATED TO RECEIVE SALES COMMISSIONS.
2021-03-02
D/A
$0.00
Yes
$0.00
Yes
FEE COMPENSATION WILL ULTIMATELY BE BORNE BY THE GP AND ITS AFFILIATES AND NOT BY THE ISSUER-S INVESTORS. OCM INVESTMENTS, LLC WILL PLACE THE INVESTMENTS BUT IS NOT ANTICIPATED TO RECEIVE SALES COMMISSIONS.
2021-03-02
D/A
$0.00
Yes
$0.00
Yes
FEE COMPENSATION WILL ULTIMATELY BE BORNE BY THE GP AND ITS AFFILIATES AND NOT BY THE ISSUER-S INVESTORS. OCM INVESTMENTS, LLC WILL PLACE THE INVESTMENTS BUT IS NOT ANTICIPATED TO RECEIVE SALES COMMISSIONS.
2021-03-02
D/A
$0.00
Yes
$0.00
Yes
FEE COMPENSATION WILL ULTIMATELY BE BORNE BY THE GP AND ITS AFFILIATES AND NOT BY THE ISSUER-S INVESTORS. OCM INVESTMENTS, LLC WILL PLACE THE INVESTMENTS BUT IS NOT ANTICIPATED TO RECEIVE SALES COMMISSIONS.
2010-03-16
D/A
$0.00
No
$0.00
No
2009-09-04
D
$0.00
No
$0.00
No