Michael R. Klisares

BLUEROCK CAPITAL MARKETS LLC

Newport Beach, CA 92660

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CRD#: 1026851

Professional summary

Michael Robert Klisares, CFP®, who also goes by Mike Klisares, is a registered financial professional currently at BLUEROCK CAPITAL MARKETS LLC located in Newport Beach, California.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1982. Michael has worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Klisares

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 Michael Robert Klisares'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®

CFP^®

Certified Financial Planner

Experience

Current

October 5, 2017 - Present

BLUEROCK CAPITAL MARKETS LLC

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

CRD#: 136974

Newport Beach, CA

Past

January 12, 2016 - October 2, 2017

NORTHSTAR SECURITIES, LLC

CRD#: 150409

GREENWOOD VILLAGE, CO

Past

September 9, 2015 - December 11, 2015

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

July 11, 2014 - July 16, 2015

NEXBANK SECURITIES INC

CRD#: 133267

DALLAS, TX

Past

June 12, 2014 - July 10, 2014

NEXPOINT SECURITIES, INC.

CRD#: 165013

DALLAS, TX

Past

August 21, 2013 - June 4, 2014

CION SECURITIES, LLC

CRD#: 15487

NEW YORK, NY

Past

February 25, 2013 - August 22, 2013

KBR CAPITAL MARKETS, LLC

CRD#: 128800

PALO ALTO, CA

Past

February 24, 2003 - February 19, 2013

PROVASI CAPITAL PARTNERS LP

CRD#: 119539

DALLAS, TX

Past

October 28, 1992 - November 11, 2002

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

May 16, 1985 - September 29, 1992

FUNDMARK INVESTMENT COMPANY SERVICES, INC.

CRD#: 13066

Past

May 3, 1982 - February 5, 1985

A. G. EDWARDS & SONS, INC.

CRD#: 4

Past

January 25, 1982 - May 10, 1982

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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

Iowa
(10/5/2017)

Kansas
(10/5/2017)

Missouri
(10/5/2017)

Nebraska
(10/5/2017)

Exams

State Security Law Exam

Series 63

Date: 1/29/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/1982

General Securities Representative 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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael R. Klisares

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Robert Klisares's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHSTAR SECURITIES, LLC

CANTOR FITZGERALD & CO.

NEXBANK SECURITIES INC

NEXPOINT SECURITIES, INC.

CION SECURITIES, LLC

KBR CAPITAL MARKETS, LLC

PROVASI CAPITAL PARTNERS LP

VERAVEST INVESTMENTS, INC.

FUNDMARK INVESTMENT COMPANY SERVICES, INC.

A. G. EDWARDS & SONS, INC.

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/29/1982

SIE

Date: 10/1/2018

Series 7

Date: 1/16/1982

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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