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MM

Michael P. Mcgrath

BLUEROCK CAPITAL MARKETS LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 2059989
MM

Professional summary

Michael Patrick Mcgrath is a registered financial professional currently at BLUEROCK CAPITAL MARKETS LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 11 firms and has passed the Series 63, Series 65, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Patrick Mcgrath'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®
None

Experience

Current

July 16, 2024 - Present

BLUEROCK CAPITAL MARKETS LLC

Office #1: 919 Third Avenue 40th Floor, New York, NY 10022
BD
CRD#: 136974
New York, NY
Past

February 6, 2018 - July 18, 2023

THALES CAPITAL PARTNERS LLC

BD
CRD#: 172125
New York, NY
Past

August 10, 2015 - January 19, 2018

ICAPITAL MARKETS LLC

BD
CRD#: 118219
Toronto, Ontario,
Past

August 17, 2012 - January 5, 2015

PERELLA WEINBERG PARTNERS LP

BD
CRD#: 138618
NEW YORK, NY
Past

June 1, 2009 - February 27, 2012

MORGAN STANLEY

RIA
CRD#: 149777
PURCHASE, NY
Past

June 1, 2009 - February 27, 2012

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

March 30, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
PURCHASE, NY
Past

March 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
PURCHASE, NY
Past

December 14, 2006 - February 28, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

November 22, 2006 - February 28, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
PURCHASE, NY
Past

January 2, 2002 - May 17, 2004

NUVEEN FUND ADVISORS, LLC

RIA
CRD#: 104626
CHICAGO, IL
Past

November 1, 2001 - May 18, 2004

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

May 28, 1993 - August 2, 2001

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

November 7, 1991 - August 19, 1993

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
New Jersey
(7/16/2024)
RR
New York
(7/16/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/20/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/21/1995
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/5/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/11/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BC
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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BLUEROCK ENTERPRISE HOLDINGS, LPSOLE MEMBER
CONNORS, KAMALA JANINECHIEF COMPLIANCE OFFICER5729659
EMALA, JASONGENERAL COUNSEL6690509
KIRSCHENBLATT, CHAD ETHANFINOP2503352
KLEPACKI, JEFFREY GEXECUTIVE VICE PRESIDENT2883444
SCHWABER, JEFFREY SCOTTCHIEF EXECUTIVE OFFICER1751747

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

Company Information

BLUEROCK CAPITAL MARKETS LLC

CRD#: 136974New York, NY 10022

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