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KA

Kerri A. Amato

BLUE OWL SECURITIES
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 4710835
KA

Professional summary


Kerri Ann Amato, who also goes by Kerri Amato, Kerri Ann Falco, is a registered financial professional currently at BLUE OWL SECURITIES located in Greenwich, Connecticut.

Kerri is registered as a RR (Registered Representative) and started their career in finance in 2003. Kerri has worked at 4 firms and has passed the Series 63, Series 62, Series 99TO, SIE, Series 7, Series 6, Series 14 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Kerri Amato | Kerri Ann Falco

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 Kerri Ann Amato'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

July 5, 2022 - Present

BLUE OWL SECURITIES

Office #1: 1 Greenwich Plaza, Greenwich, CT 06830Office #2: 375 Park Avenue, New York, NY 10152
BD
CRD#: 283250
Greenwich, CT
Past

August 17, 2018 - July 5, 2022

AQR INVESTMENTS, LLC

BD
CRD#: 289244
Greenwich, CT
Past

April 27, 2009 - July 26, 2018

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
Greenwich, CT
Past

October 14, 2003 - April 3, 2006

FEF DISTRIBUTORS, LLC

BD
CRD#: 46585
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
Connecticut
(7/5/2022)
RR
New York
(7/5/2022)

Exams


State Security Law Exam
RR
Series 63
Date: 1/26/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/13/2014
General Securities Principal 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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