Full text of BLUEROCK CAPITAL MARKETS LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **BLUEROCK CAPITAL MARKETS, LLC** FINANCIAL REPORT **December 31, 202** {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART Ill | 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated **average** burden hours per response: 12 > SEC FILE NUMBER 8-67058 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and lBa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING \_0\_1\_/0\_1\_/\_2\_1 \_\_\_ AND ENDING \_1\_2\_/3\_1\_/\_2\_1 \_\_ \_ MM/DD/VY **MM/DD/VY** **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: \_B\_lu\_e\_r\_o\_c\_k\_C\_a\_p\_i\_ta\_l\_M\_a\_r\_k\_e\_ts\_,\_L\_L\_C \_\_\_\_\_\_\_\_\_ \_ TYPE OF REGISTRANT (check all applicable boxes): iii Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P .0. box no.) | 1345 Avenue of the Americas, 32nd floor | | | | | | |-------------------------------------------------------------------------------------------------|--|------------------------------------------------------------|-----------------|--------------------------------------------|--| | | | (No. and Street) | | | | | New York | | NY | 10105 | | | | (City) | | (State) | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Chad Kirschenblatt | | 516 222 9111 | | chad.kirschenblatt@jrtlc.com | | | (Name) | | (Area Code -Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Plante Moran, PLLC | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 2601 Cambridge Ct.,'Ste 500 Auburn Hills | | | Ml | 48326 | | | (Address) | | (City) | (State) | (Zip Code) | | | 10-20-2003 | | | 166 | | | | rte of ReglstraUon with PCAOB)i" applicable) | | | | (PCAOB ReglstraUon N,mbe,, if applkable) \ | | | | | FOR OFFICIAL USE ONLY | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(l)(ii), If applicable. **Persons…Read the full text as markdown