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EB

Eric B. Brotman

BLUE OWL SECURITIES
New York, NY 10152
Some features on this profile are disabled
CRD#: 5578281
EB

Professional summary

Eric B Brotman, who also goes by Eric Brotman, is a registered financial professional currently at BLUE OWL SECURITIES located in New York, New York.

Eric is registered as a RR (Registered Representative) and started their career in finance in 2009. Eric has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eric Brotman

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 Eric B Brotman'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

September 13, 2016 - May 19, 2021

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

January 15, 2015 - June 30, 2015

TCG SECURITIES, L.L.C.

BD
CRD#: 154788
NEW YORK, NY
Past

March 17, 2014 - December 31, 2014

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
New York, NY
Past

June 29, 2011 - December 31, 2013

TCG SECURITIES, L.L.C.

BD
CRD#: 154788
NEW YORK, NY
Past

April 19, 2010 - May 12, 2011

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

January 20, 2010 - April 22, 2010

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEW YORK, NY
Past

November 13, 2009 - April 22, 2010

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
(2/22/2022)
RR
Alaska
(2/22/2022)
RR
Arizona
(2/22/2022)
RR
Arkansas
(2/22/2022)
RR
California
(5/27/2021)
RR
Colorado
(2/22/2022)
RR
Connecticut
(5/27/2021)
RR
Delaware
(2/22/2022)
RR
District of Columbia
(2/22/2022)
RR
Florida
(5/27/2021)
RR
Georgia
(2/22/2022)
RR
Hawaii
(2/22/2022)
RR
Idaho
(2/22/2022)
RR
Illinois
(5/27/2021)
RR
Indiana
(2/22/2022)
RR
Iowa
(2/22/2022)
RR
Kansas
(2/22/2022)
RR
Kentucky
(2/22/2022)
RR
Louisiana
(2/22/2022)
RR
Maine
(2/22/2022)
RR
Maryland
(2/22/2022)
RR
Massachusetts
(2/22/2022)
RR
Michigan
(2/22/2022)
RR
Minnesota
(2/22/2022)
RR
Mississippi
(2/22/2022)
RR
Missouri
(2/22/2022)
RR
Montana
(2/22/2022)
RR
Nebraska
(2/22/2022)
RR
Nevada
(5/27/2021)
RR
New Hampshire
(2/22/2022)
RR
New Jersey
(5/27/2021)
RR
New Mexico
(2/22/2022)
RR
New York
(5/27/2021)
RR
North Carolina
(2/22/2022)
RR
North Dakota
(2/22/2022)
RR
Ohio
(2/22/2022)
RR
Oklahoma
(2/22/2022)
RR
Oregon
(2/22/2022)
RR
Pennsylvania
(2/22/2022)
RR
Puerto Rico
(12/11/2024)
RR
Rhode Island
(2/22/2022)
RR
South Carolina
(2/22/2022)
RR
South Dakota
(2/22/2022)
RR
Tennessee
(2/22/2022)
RR
Texas
(2/22/2022)
RR
Utah
(2/22/2022)
RR
Vermont
(2/22/2022)
RR
Virginia
(2/22/2022)
RR
Washington
(2/22/2022)
RR
West Virginia
(2/22/2022)
RR
Wisconsin
(2/22/2022)
RR
Wyoming
(2/22/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/23/2009
Uniform Combined 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: 11/12/2009
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#: 283250New York, NY 10152

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