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CB

Carly A. Brooks Prutkin

BLUE OWL SECURITIES
New York, NY 10152
Some features on this profile are disabled
CRD#: 4243039
CB

Professional summary

Carly Ann Brooks Prutkin, who also goes by Carly A Brooks, Carly Ann Brooks, Carly Ann Prutkin, is a registered financial professional currently at BLUE OWL SECURITIES located in New York, New York.

Carly is registered as a RR (Registered Representative) and started their career in finance in 2000. Carly has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carly A Brooks | Carly Ann Brooks | Carly Ann Prutkin

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 Carly Ann Brooks Prutkin'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

May 27, 2021 - Present

BLUE OWL SECURITIES

Office #1: 375 Park Avenue, New York, NY 10152
BD
CRD#: 283250
New York, NY
Past

April 2, 2013 - May 19, 2021

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

February 19, 2013 - May 19, 2021

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

November 30, 2011 - February 29, 2012

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

February 22, 2006 - October 26, 2007

REDI GLOBAL TECHNOLOGIES LLC

BD
CRD#: 41924
NEW YORK, NY
Past

February 22, 2006 - October 26, 2007

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

August 18, 2003 - February 24, 2006

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

September 5, 2000 - July 29, 2003

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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
(1/3/2024)
RR
Alaska
(1/3/2024)
RR
Arizona
(5/27/2021)
RR
Arkansas
(1/3/2024)
RR
California
(5/27/2021)
RR
Colorado
(1/3/2024)
RR
Connecticut
(5/27/2021)
RR
Delaware
(5/27/2021)
RR
District of Columbia
(5/27/2021)
RR
Florida
(5/27/2021)
RR
Georgia
(1/3/2024)
RR
Hawaii
(1/3/2024)
RR
Idaho
(1/3/2024)
RR
Illinois
(5/27/2021)
RR
Indiana
(1/3/2024)
RR
Iowa
(1/3/2024)
RR
Kansas
(1/3/2024)
RR
Kentucky
(1/3/2024)
RR
Louisiana
(1/3/2024)
RR
Maine
(1/3/2024)
RR
Maryland
(5/27/2021)
RR
Massachusetts
(2/22/2022)
RR
Michigan
(1/3/2024)
RR
Minnesota
(1/3/2024)
RR
Mississippi
(1/3/2024)
RR
Missouri
(1/3/2024)
RR
Montana
(1/3/2024)
RR
Nebraska
(1/3/2024)
RR
Nevada
(5/27/2021)
RR
New Hampshire
(1/3/2024)
RR
New Jersey
(5/27/2021)
RR
New Mexico
(1/3/2024)
RR
New York
(5/27/2021)
RR
North Carolina
(1/3/2024)
RR
North Dakota
(1/3/2024)
RR
Ohio
(1/3/2024)
RR
Oklahoma
(1/3/2024)
RR
Oregon
(1/3/2024)
RR
Pennsylvania
(5/27/2021)
RR
Puerto Rico
(1/3/2024)
RR
Rhode Island
(1/3/2024)
RR
South Carolina
(1/3/2024)
RR
South Dakota
(1/3/2024)
RR
Tennessee
(1/3/2024)
RR
Texas
(5/27/2021)
RR
Utah
(1/3/2024)
RR
Vermont
(1/3/2024)
RR
Virginia
(5/27/2021)
RR
Washington
(1/3/2024)
RR
West Virginia
(1/3/2024)
RR
Wisconsin
(1/3/2024)
RR
Wyoming
(1/3/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/1/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/3/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/1/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 11/29/2011
Investment Banking Registered 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#: 283250New York, NY 10152

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