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SB

Steven A. Baffico

BLUEROCK CAPITAL MARKETS LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 4136467
SB

Professional summary

Steven Angelo Baffico is a registered financial professional currently at BLUEROCK CAPITAL MARKETS LLC located in New York, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2000. Steven has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 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 Steven Angelo Baffico'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 4, 2025 - Present

BLUEROCK CAPITAL MARKETS LLC

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

August 18, 2022 - September 16, 2025

VISION 4 FUND DISTRIBUTORS

BD
CRD#: 298105
SCOTTSDALE, AZ
Past

October 4, 2018 - September 2, 2020

ROSS SECURITIES CORPORATION

BD
CRD#: 113796
NEW YORK, NY
Past

October 21, 2014 - September 14, 2018

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
New York, NY
Past

August 14, 2012 - September 9, 2014

AST INVESTOR SERVICES LLC

BD
CRD#: 155050
NEW YORK, NY
Past

June 1, 2012 - June 26, 2012

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
NEW YORK, NY
Past

February 26, 2010 - August 25, 2011

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL
Past

March 24, 2000 - February 19, 2010

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
BOSTON, MA

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
(9/4/2025)
RR
New York
(9/4/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/15/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 9/14/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/22/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/23/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/30/2010
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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