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Carly Ann Brooks prutkin

Blue OWL Securities

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About Carly Ann Brooks prutkin

Carly Ann Brooks prutkin is a financial advisor with Blue Owl Securities. Carly is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 7, Series 63, Series 79, and SIE licenses. Carly has over 17 years of experience in the financial services industry and has previously worked for Neuberger Berman BD LLC, Cantor Fitzgerald & Co., Goldman Sachs Execution & Clearing, L.P., Spear, Leeds & Kellogg Specialists LLC, and Goldman, Sachs & Co. Carly is currently registered with the Securities and Exchange Commission (SEC) and is also registered to provide investment advice in 52 states and the District of Columbia.

Firm Information

Carly Brooks prutkin is currently registered with Blue OWL Securities. Blue OWL Securities is a Limited Liability Company formed in December 2015. The firm is registered in all 50 states, the District of Columbia, and Puerto Rico. Blue OWL Securities is registered with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

34

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Carly Brooks prutkin’s Registration & Firm History

NY

05/27/2021 - Present

Blue OWL Securities (New York NY)

NY

02/19/2013 - 05/19/2021

NEUBERGER BERMAN BD LLC (NEW YORK NY)

NY

11/30/2011 - 02/29/2012

CANTOR FITZGERALD & CO. (NEW YORK NY)

NY

02/22/2006 - 10/26/2007

GOLDMAN SACHS EXECUTION & CLEARING, L.P. (NEW YORK NY)

NY

02/22/2006 - 10/26/2007

SPEAR, LEEDS & KELLOGG SPECIALISTS LLC (NEW YORK NY)

NY

08/18/2003 - 02/24/2006

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

09/05/2000 - 07/29/2003

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

IA

Issued 04/01/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/03/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/01/2013

Series 7 - General Securities Representative Examination

BC

Issued 11/29/2011

Series 79 - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carly Ann Brooks prutkin.
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