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Carly A. Hopkins

STONEBRIDGE FINANCIAL GROUP
Wormleysburg, PA 17043
Some features on this profile are disabled
CRD#: 6797478
CH

Professional summary

Carly Ann Hopkins, who also goes by Carly A Rutter, Carly Ann Rutter, is a registered financial advisor currently at STONEBRIDGE FINANCIAL GROUP, LLC located in Wormleysburg, Pennsylvania and PRIVATE CLIENT SERVICES, LLC located in Wormleysburg, Pennsylvania.

Carly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Carly has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Carly A Rutter | Carly Ann Rutter

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) Stonebridge Financial Group. 602 N Front St, Wormleysburg, PA 17043. Paraplanner and CA with registered RIA. 240 hrs/mo; 240 during trading hrs. 2) Private Client Services, 602 N Front St, Wormleysburg, PA 17043, Licensed Admin; 80 hrs/mo during trading hrs. 3) Notary Public of PA; Non-investment related; Wormleysburg, PA 17043; Notary Public; 2 hours/month during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carly Ann Hopkins'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

September 16, 2024 - Present

STONEBRIDGE FINANCIAL GROUP, LLC

Office #1: 602 North Front Street, Wormleysburg, PA 17043
RIA
CRD#: 327529
Wormleysburg, PA
Current

April 4, 2024 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 602 N Front St, Wormleysburg, PA 17043
RIA
BD
CRD#: 120222
Wormleysburg, PA
Past

February 14, 2024 - April 5, 2024

TRIAD ADVISORS LLC

BD
CRD#: 25803
Wormleysburg, PA
Past

September 13, 2019 - March 5, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
Mechanicsburg, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SF
STONEBRIDGE FINANCIAL GROUP, LLC
AVIA WEALTH ADVISORS | WHITECLIFF WEALTH MANAGEMENT | STONEBRIDGE FINANCIAL GROUP, LLC | EMC WEALTH MANAGEMENT LLC

CRD#: 327529 / SEC#: 801-129034

RIA
Registered Investment Advisory firm - (11/8/2023 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
Pennsylvania
(4/4/2024)
IAR
Pennsylvania
(9/16/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/16/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/1/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/13/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/28/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SF
STONEBRIDGE FINANCIAL GROUP, LLC
AVIA WEALTH ADVISORS | WHITECLIFF WEALTH MANAGEMENT | STONEBRIDGE FINANCIAL GROUP, LLC | EMC WEALTH MANAGEMENT LLC

CRD#: 327529 / SEC#: 801-129034

RIA
Registered Investment Advisory firm - (11/8/2023 Approved)
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Contact information

Main Address
602 North Front Street, Wormleysburg, PA 17043
Mailing Address
Phone number
(717) 736-7007
Established
Firm type
Fiscal year end
# of Employees
26

SEC notice filing (21 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SFG WRAP BROCHURE (8/1/2025)
SFG ADV PART 2A (8/1/2025)

Regulatory assets under management

Total Number of Accounts4,021
AUM (Assets Under Management)$ 1,831,293,279

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

STONEBRIDGE FINANCIAL GROUP, LLC

CRD#: 327529Wormleysburg, PA 17043

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