Full text of BLUEROCK CAPITAL MARKETS LLC's X-17A-5 filed 2023-02-27 (period 2022-12-31). 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, 2022 {1}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-67058 # ANNUAL REPORTS FORM X-17A-5 PART III | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | FACING PAGE | | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--------------------------------|------------------------------------------------------------|------------|-----------------|--------------------------------------------| | FILING FOR THE PERIOD BEGINNING | | 01/01/22<br>MM/DD/YY | | AND ENDING | 12/31/22 | | | | | | | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | Bluerock Capital Markets, LLC<br>NAME OF FIRM: | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>_ Security-based swap dealer<br>Broker-dealer<br>C Check here if respondent is also an OTC derivatives dealer | | | Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. 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@jrllc.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 300 Auburn Hills | | | | | MI | 48626 | | (Address) | | (City) | | | (State) | (Zip Code) | | 10-20-2003 | | | | 166 | | | | (Date of Registration with PCAOB)(if applicable) | | FOR OFFICIAL USE ONLY | | | | (PCAOB Registration Number, if applicable) | | | | | | | | | \* 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 circumsta…Read the full text as markdown