Lisa J. Bock
Professional summary
Lisa Jane Bock, who also goes by Lisa Bock, Lisa Jane Bock Difrancesca, Lisa Jane Bock, Lisa Bock Difrancesca, is a registered financial professional currently at BLUEROCK CAPITAL MARKETS LLC located in Newport Beach, California.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 1989. Lisa has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lisa Jane Bock's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 22, 2019 - Present
BLUEROCK CAPITAL MARKETS LLC
Office #1: 4100 Newport Place Suite 650, Newport Beach, CA 92660May 6, 2013 - January 15, 2019
STRATCAP SECURITIES, LLC
November 28, 2001 - August 15, 2012
ALLIANZ LIFE FINANCIAL SERVICES, LLC
July 16, 1998 - October 19, 2001
WOODBURY FINANCIAL SERVICES, INC.
August 21, 1996 - July 1, 1998
IDS LIFE INSURANCE COMPANY
August 21, 1996 - July 1, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
October 11, 1993 - October 9, 1995
U.S. BANCORP ADVISORS, LLC
September 20, 1991 - December 22, 1993
CAPITAL BROKERAGE CORPORATION
November 22, 1989 - September 27, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/22/2019)
(10/22/2019)
Exams
FINRA
Current Firm
BLUEROCK CAPITAL MARKETS LLC
CRD#: 136974 / SEC#: , 8-67058
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
Red Flags
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