AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CF

Carey M. Fortnam

Some features on this profile are disabled
CRD#: 4840471
CF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Carey M Fortnam II, who also goes by Carey M Fortnam II, was a registered financial professional .

Carey is a previously registered financial professional and started their career in finance in 2004. Carey had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carey M Fortnam Ii

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.
1. ANA Capital Partners, LLC; Investment-Related; Rochester, NY; Rental Property; Owner; 12/2003; Zero hours devoted to the other business and during trading hours; Runs numbers if a property is presented. 2. Whitesboro I Properties LLC; Investment-Related; Rochester, NY; Rental Property; Owner; 08/2020; Zero hours devoted to the other business and during trading hours; Runs numbers if a property is presented. 3. Fortnam Group LLC; Investment-Related; Rochester, NY; Rental Property; Owner; 05/2017; Zero hours devoted to the other business and during trading hours; Runs numbers if a property is presented. 4. NASH Fund LLC; Investment-Related; Nashville, TN; Rental Property; Owner; 09/2021; Zero hours devoted to the other business and during trading hours; Runs numbers if a property is presented. 5. Valley Fund LLC; Investment-Related; Herkimer, NY; Rental Property; Owner; 12/2009; Zero hours devoted to the other business and during trading hours; Runs numbers if a property is presented. 6. American Trust Home Buyers LLC; Investment-Related; Boca Raton, FL; Rental Property; Owner; 04/2022; Zero hours devoted to the other business and during trading hours; Runs numbers if a property is presented.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 1, 2023 - November 3, 2025

BLUEROCK CAPITAL MARKETS LLC

BD
CRD#: 136974
NEW YORK, NY
Past

October 17, 2022 - December 16, 2022

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
MIAMI, FL
Past

September 27, 2013 - May 3, 2023

ALLIANCEBERNSTEIN L.P.

RIA
CRD#: 108477
NEW YORK, NY
Past

September 26, 2013 - May 3, 2023

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NEW YORK, NY
Past

May 1, 2010 - August 22, 2013

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA
CRD#: 108257
FAIRPORT, NY
Past

May 1, 2010 - August 22, 2013

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BD
CRD#: 840
BOSTON, MA
Past

September 17, 2007 - May 1, 2010

BOFA ADVISORS, LLC

RIA
CRD#: 107900
BOSTON, MA
Past

September 17, 2007 - May 1, 2010

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

July 29, 2005 - September 18, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
ROCHESTER, NY
Past

July 29, 2005 - September 18, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
ROCHESTER, NY
Past

January 10, 2005 - June 9, 2005

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

August 30, 2004 - January 4, 2005

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/9/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/15/2004
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: 10/3/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/28/2004
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BC
BLUEROCK CAPITAL MARKETS LLC
BLUEROCK CAPITAL MARKETS LLC | SUNBELT NEW ENGLAND EQUITIES LLC | HALCYON EQUITIES LLC | HALCYON CAPITAL MARKETS LLC

CRD#: 136974 / SEC#: , 8-67058

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
919 Third Avenue 40th Floor, New York, NY 10022
Mailing Address
919 Third Avenue 40th Floor, New York, NY 10022
Phone number
(949) 688-6529
Established
Massachusetts since 08/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BLUEROCK ENTERPRISE HOLDINGS, LPSOLE MEMBER
CONNORS, KAMALA JANINECHIEF COMPLIANCE OFFICER5729659
EMALA, JASONGENERAL COUNSEL6690509
KIRSCHENBLATT, CHAD ETHANFINOP2503352
KLEPACKI, JEFFREY GEXECUTIVE VICE PRESIDENT2883444
SCHWABER, JEFFREY SCOTTCHIEF EXECUTIVE OFFICER1751747

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

BLUEROCK CAPITAL MARKETS LLC

CRD#: 136974

TRUST BUT VERIFY

Monitor Carey Fortnam

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.