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CS

Charlotte F. Shropshire

BLUE OWL SECURITIES
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 3221673
CS

Professional summary

Charlotte Frances Shropshire, who also goes by Charlotte F Shropshire, Charlotte Shropshire, is a registered financial professional currently at BLUE OWL SECURITIES located in Greenwich, Connecticut.

Charlotte is registered as a RR (Registered Representative) and started their career in finance in 1999. Charlotte has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charlotte F Shropshire | Charlotte Shropshire

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 Charlotte Frances Shropshire'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

January 8, 2025 - Present

BLUE OWL SECURITIES

Office #1: 1 Greenwich Plaza, Greenwich, CT 06830
BD
CRD#: 283250
Greenwich, CT
Past

October 17, 2012 - January 21, 2014

HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC

BD
CRD#: 131452
SAN FRANCISCO, CA
Past

June 8, 2010 - November 5, 2012

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
SAN FRANCISCO, CA
Past

August 8, 2007 - June 11, 2010

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
NEW YORK, NY
Past

June 8, 1999 - August 16, 2006

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
SAN FRANCISCO, CA

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
(1/31/2025)
RR
Alaska
(1/31/2025)
RR
Arizona
(1/31/2025)
RR
Arkansas
(1/31/2025)
RR
California
(1/31/2025)
RR
Colorado
(1/31/2025)
RR
Connecticut
(1/9/2025)
RR
Delaware
(1/31/2025)
RR
District of Columbia
(1/31/2025)
RR
Florida
(1/31/2025)
RR
Georgia
(1/31/2025)
RR
Hawaii
(1/31/2025)
RR
Idaho
(1/31/2025)
RR
Illinois
(1/31/2025)
RR
Indiana
(1/31/2025)
RR
Iowa
(1/31/2025)
RR
Kansas
(1/31/2025)
RR
Kentucky
(1/31/2025)
RR
Louisiana
(1/31/2025)
RR
Maine
(1/31/2025)
RR
Maryland
(1/31/2025)
RR
Massachusetts
(1/31/2025)
RR
Michigan
(1/31/2025)
RR
Minnesota
(1/31/2025)
RR
Mississippi
(1/31/2025)
RR
Missouri
(1/31/2025)
RR
Montana
(1/31/2025)
RR
Nebraska
(1/31/2025)
RR
Nevada
(1/31/2025)
RR
New Hampshire
(1/31/2025)
RR
New Jersey
(1/31/2025)
RR
New Mexico
(1/31/2025)
RR
New York
(1/28/2025)
RR
North Carolina
(1/31/2025)
RR
North Dakota
(1/31/2025)
RR
Ohio
(1/31/2025)
RR
Oklahoma
(1/31/2025)
RR
Oregon
(1/31/2025)
RR
Pennsylvania
(1/31/2025)
RR
Puerto Rico
(1/31/2025)
RR
Rhode Island
(1/31/2025)
RR
South Carolina
(1/31/2025)
RR
South Dakota
(1/31/2025)
RR
Tennessee
(1/31/2025)
RR
Texas
(1/31/2025)
RR
Utah
(1/31/2025)
RR
Vermont
(1/31/2025)
RR
Virginia
(1/31/2025)
RR
Washington
(1/31/2025)
RR
West Virginia
(1/31/2025)
RR
Wisconsin
(1/31/2025)
RR
Wyoming
(1/31/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/28/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/8/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/10/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/21/2000
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/7/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BO
BLUE OWL SECURITIES
BLUE OWL SECURITIES | OWL ROCK SECURITIES | OWL ROCK CAPITAL SECURITIES LLC | BLUE OWL SECURITIES LLC

CRD#: 283250 / SEC#: , 8-69744

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
375 Park Avenue, New York, NY 10152
Mailing Address
375 Park Avenue 4th Floor, New York, NY 10152
Phone number
(212) 419-3000
Established
Delaware since 12/17/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 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#
BLUE OWL CAPITAL GROUP LLCSOLE MEMBER
AMATO, KERRI ANNCHIEF COMPLIANCE OFFICER4710835
CONNOR, SEAN RICHARDPRESIDENT AND CHIEF EXECUTIVE OFFICER6019182
DIRESTA, ANDREWFINOP7459031

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

BLUE OWL SECURITIES

CRD#: 283250Greenwich, CT 06830

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