Gerald J. Concepcion
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gerald James Concepcion was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1994. Gerald had worked at 10 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2023 - July 7, 2025
BLUEROCK CAPITAL MARKETS LLC
February 29, 2016 - April 3, 2023
BNY MELLON SECURITIES CORPORATION
January 30, 2002 - March 3, 2016
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
June 11, 2001 - November 1, 2001
ABNER HERRMAN & BROCK, LLC
January 3, 2001 - February 14, 2001
JPMSI
February 26, 1996 - March 27, 1998
ALLIANCEBERNSTEIN INVESTMENTS, INC.
November 17, 1994 - December 1, 1995
L.C. WEGARD & CO., INC.
August 19, 1994 - September 6, 1994
H.J. MEYERS & CO., INC.
August 5, 1994 - August 19, 1994
WESTFIELD FINANCIAL CORPORATION
August 1, 1994 - September 15, 1994
HIBBARD BROWN & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BLUEROCK CAPITAL MARKETS LLC
CRD#: 136974 / SEC#: , 8-67058
Contact information
FINRA licenses (52 States and Territories)
Documents
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.
