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Matthew E. Case

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CRD#: 4585072
MC

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.

Matthew Edward Case was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 2003. Matthew had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31 and Series 7 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 13, 2017 - October 13, 2020

BLUEROCK CAPITAL MARKETS LLC

BD
CRD#: 136974
NEW YORK, NY
Past

October 14, 2009 - November 10, 2017

GRIFFIN CAPITAL SECURITIES, LLC

BD
CRD#: 37739
CHICAGO, IL
Past

November 27, 2007 - September 16, 2009

ADVISORS ASSET MANAGEMENT, INC.

RIA
CRD#: 46727
LISLE, IL
Past

November 27, 2007 - September 16, 2009

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
LISLE, IL
Past

August 15, 2007 - November 2, 2007

J.P. MORGAN SECURITIES INC.

RIA
CRD#: 18718
CHICAGO, IL
Past

August 15, 2007 - November 2, 2007

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
CHICAGO, IL
Past

August 15, 2007 - November 6, 2007

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

September 12, 2006 - August 2, 2007

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
CHICAGO, IL
Past

September 12, 2006 - August 2, 2007

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
CHICAGO, IL
Past

October 4, 2004 - March 21, 2006

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
CHICAGO, IL
Past

September 8, 2004 - March 21, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
CHICAGO, IL
Past

February 14, 2003 - July 7, 2004

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/1/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/17/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/24/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 12/10/2004
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 2/12/2003
General Securities Representative Examination

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#: 136974

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