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AP

Angelo R. Pirri

BLUEROCK CAPITAL MARKETS LLC
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 2169355
AP

Professional summary

Angelo Robert Pirri is a registered financial professional currently at BLUEROCK CAPITAL MARKETS LLC located in Newport Beach, California.

Angelo is registered as a RR (Registered Representative) and started their career in finance in 1991. Angelo has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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 Angelo Robert Pirri'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

September 18, 2018 - Present

BLUEROCK CAPITAL MARKETS LLC

Office #1: 4100 Newport Place Suite 650, Newport Beach, CA 92660
BD
CRD#: 136974
Newport Beach, CA
Past

November 7, 2017 - October 3, 2018

ATEL SECURITIES CORPORATION

BD
CRD#: 17229
SAN FRANCISCO, CA
Past

April 17, 2013 - November 10, 2017

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
San Francisco, CA
Past

January 3, 2012 - March 18, 2013

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
GARDEN CITY, NY
Past

April 23, 2010 - December 20, 2011

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

August 11, 2006 - November 23, 2009

ARTIO GLOBAL MANAGEMENT LLC

RIA
CRD#: 106863
PHILADELPHIA, PA
Past

July 10, 2006 - November 16, 2009

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

April 8, 2005 - May 10, 2006

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

BD
CRD#: 15654
NEW YORK, NY
Past

February 28, 2003 - March 31, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

February 25, 2003 - March 31, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAN JOSE, CA
Past

November 27, 2001 - March 3, 2003

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY
Past

January 13, 1997 - October 23, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 31, 1995 - February 24, 1995

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

September 3, 1991 - January 31, 1995

TRANSAMERICA FUND DISTRIBUTORS, INC.

BD
CRD#: 3554
HOUSTON, TX

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
Alabama
(8/4/2025)
RR
Alaska
(9/18/2018)
RR
Arizona
(9/18/2018)
RR
Arkansas
(8/4/2025)
RR
California
(9/18/2018)
RR
Colorado
(1/13/2025)
RR
Connecticut
(8/4/2025)
RR
Delaware
(8/4/2025)
RR
District of Columbia
(8/4/2025)
RR
Florida
(8/4/2025)
RR
Georgia
(8/4/2025)
RR
Hawaii
(10/3/2018)
RR
Idaho
(9/18/2018)
RR
Illinois
(8/4/2025)
RR
Indiana
(8/4/2025)
RR
Iowa
(8/4/2025)
RR
Kansas
(8/4/2025)
RR
Kentucky
(8/4/2025)
RR
Louisiana
(8/4/2025)
RR
Maine
(8/4/2025)
RR
Maryland
(8/4/2025)
RR
Massachusetts
(8/4/2025)
RR
Michigan
(8/4/2025)
RR
Minnesota
(8/4/2025)
RR
Mississippi
(8/4/2025)
RR
Missouri
(8/4/2025)
RR
Montana
(9/18/2018)
RR
Nebraska
(8/4/2025)
RR
Nevada
(9/18/2018)
RR
New Hampshire
(8/4/2025)
RR
New Jersey
(8/4/2025)
RR
New Mexico
(9/18/2018)
RR
New York
(8/4/2025)
RR
North Carolina
(8/4/2025)
RR
North Dakota
(8/4/2025)
RR
Ohio
(8/5/2025)
RR
Oklahoma
(8/4/2025)
RR
Oregon
(9/18/2018)
RR
Pennsylvania
(8/4/2025)
RR
Puerto Rico
(8/4/2025)
RR
Rhode Island
(8/4/2025)
RR
South Carolina
(8/4/2025)
RR
South Dakota
(8/4/2025)
RR
Tennessee
(8/4/2025)
RR
Texas
(10/10/2018)
RR
Utah
(9/18/2018)
RR
Vermont
(8/4/2025)
RR
Virginia
(8/4/2025)
RR
Washington
(1/13/2021)
RR
West Virginia
(8/4/2025)
RR
Wisconsin
(8/4/2025)
RR
Wyoming
(9/18/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/21/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/27/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/10/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/30/1991
Investment Company Products/Variable Contracts Representative 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#: 136974Newport Beach, CA 92660

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