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JS

Jeff R. Spah

BLUEROCK CAPITAL MARKETS
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 4341284
JS
Jeff Richard SpahBLUEROCK CAPITAL MARKETS

Professional summary

Jeff Richard Spah is a registered financial professional currently at BLUEROCK CAPITAL MARKETS LLC located in Newport Beach, California.

Jeff is registered as a RR (Registered Representative) and started their career in finance in 2003. Jeff has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

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 Jeff Richard Spah'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 27, 2026 - Present

BLUEROCK CAPITAL MARKETS LLC

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

October 24, 2016 - September 6, 2024

INLAND SECURITIES CORPORATION

BD
CRD#: 15807
OAK BROOK, IL
Past

May 21, 2012 - August 3, 2016

CION SECURITIES, LLC

BD
CRD#: 15487
NEW YORK, NY
Past

August 13, 2007 - May 18, 2012

CCO CAPITAL, LLC

BD
CRD#: 31147
PHOENIX, AZ
Past

May 26, 2003 - February 11, 2005

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY

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
Arizona
(7/30/2026)
RR
Colorado
(7/27/2026)
RR
New Mexico
(7/27/2026)
RR
Utah
(7/27/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 8/28/2007
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: 8/10/2007
General Securities 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)

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 GNATIONAL SALES MANAGER2883444

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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