Full text of BLUEROCK CAPITAL MARKETS LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Bluerock Capital Markets, LLC** (a wholly owned Subsidiary of BR Capital Markets, LLC) (a Massachusetts limited liability company) > Financial Report December 31, 2019 {1}------------------------------------------------ UNITEDSfATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 ANNUALAUDITEDREPORT FORM X-17A-5 PART Ill OMBAPPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours rres se ...... 12.00 | SEC FILE NUMBER | |-----------------| | 8-67058 | FACING PAGE Information Reqnired of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 01 /01 /19 | AND ENDING 12/31 /19<br>~~~~~~~~~~ | | | | |------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------|-------------------|--| | | MM'DD/YY | | MM!OO/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Bluerock Capital Markets, LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | | 1345 Avenue of Americas, 32nd Floor | | | | | | | (No. and Street) | | | | | New York | NY | | 10105 | | | (City) | (State) | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Chad Klrsciienblatt | | | (516) 393·5603 | | | | B. ACCOUNTANT IDENTIFICATION | (Area Code | Telephone Number) | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report•<br>Plante Moran, PLLC | (Name - if individual, state last, firs/, middle name) | | | | | | | | | | | 2601 Cambridge Ct. Ste 500 | Auburn Hills | Ml | 48326 | | | {Address) | (City) | | (Zip Code) | | *•claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant n111sr be supported by a statement of/acts and circumstances relied* 011 *as the basis/or the exemption. See Section 240.17a-5(e)(2)* > Polentlal persons who are to respond to the collecllon of Information conlalned In this form ere not required lo respond unless the form displays a currently valid OMB control number. SEC 1410 (11-05) {2}------------------------------------------------ #### **OATH OR AFFIRMATION** | ________________________<br>, swear (or affirm) that, to tho best of<br>I, _P_a_u_I D_u_nn | | |----------------------…Read the full text as markdown