Carly Hampton

BLUEROCK CAPITAL MARKETS LLC

Newport Beach, CA 92660

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CRD#: 5404780

Professional summary

Carly Hampton, who also goes by Carly Harlan Hampton, Carly Harlan Turkus, Carly Turkus, is a registered financial professional currently at BLUEROCK CAPITAL MARKETS LLC located in Newport Beach, California.

Carly is registered as a RR (Registered Representative) and started their career in finance in 2017. Carly has worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carly Harlan Hampton | Carly Harlan Turkus | Carly Turkus

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 Carly Hampton's 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

March 4, 2025 - Present

BLUEROCK CAPITAL MARKETS LLC

Office #1: 4100 Newport Place Suite 650, Newport Beach, CA 92660

CRD#: 136974

Newport Beach, CA

Past

August 1, 2019 - January 2, 2025

BLACKSTONE SECURITIES PARTNERS L.P.

CRD#: 17917

SAN FRANCISCO, CA

Past

November 8, 2017 - June 18, 2019

MAN INVESTMENTS INC.

CRD#: 15770

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(3/4/2025)

New York
(3/4/2025)

Exams

State Security Law Exam

Series 63

Date: 4/12/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/2/2018

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/8/2017

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/22/2018

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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

Broker-Dealer Firm Regulated by FINRA (New York district office)

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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)

Documents

Direct owners and executive officers

Name	Position	CRD#
BLUEROCK ENTERPRISE HOLDINGS, LP	SOLE MEMBER
CONNORS, KAMALA JANINE	CHIEF COMPLIANCE OFFICER	5729659
EMALA, JASON	GENERAL COUNSEL	6690509
KIRSCHENBLATT, CHAD ETHAN	FINOP	2503352
KLEPACKI, JEFFREY G	EXECUTIVE VICE PRESIDENT	2883444
SCHWABER, JEFFREY SCOTT	CHIEF EXECUTIVE OFFICER	1751747

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.

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Advisor Monitoring

Firm Stability Insights

Carly Hampton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carly Hampton's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLACKSTONE SECURITIES PARTNERS L.P.

MAN INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/12/2018

SIE

Date: 10/1/2018

Series 3

Date: 7/2/2018

Series 7

Date: 11/8/2017

Series 24

Date: 3/22/2018

FINRA

Current Firm

BLUEROCK CAPITAL MARKETS LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BLUEROCK CAPITAL MARKETS LLC

TRUST BUT VERIFY

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