Daniel G. Luis

BLUEROCK CAPITAL MARKETS LLC

Newport Beach, CA 92660

Some features on this profile are disabled

CRD#: 4697002

Professional summary

Daniel Gerald Luis is a registered financial professional currently at BLUEROCK CAPITAL MARKETS LLC located in Newport Beach, California.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2003. Daniel has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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 Daniel Gerald Luis'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

February 22, 2018 - Present

BLUEROCK CAPITAL MARKETS LLC

Office #1: 4100 Newport Place Suite 650, Newport Beach, CA 92660

CRD#: 136974

Newport Beach, CA

Past

September 12, 2017 - February 23, 2018

SHOPOFF SECURITIES, INC.

CRD#: 142866

IRVINE, CA

Past

November 10, 2014 - September 15, 2017

GRIFFIN CAPITAL SECURITIES, LLC

CRD#: 37739

IRVINE, CA

Past

February 9, 2005 - April 8, 2014

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

IRVINE, CA

Past

July 13, 2004 - January 24, 2005

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

IRVINE, CA

Past

November 13, 2003 - January 24, 2005

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

State Registrations and Notice Filings

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

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

California
(2/22/2018)

Delaware
(11/21/2022)

District of Columbia
(11/21/2022)

Maryland
(11/21/2022)

Pennsylvania
(11/21/2022)

Virginia
(11/21/2022)

West Virginia
(11/21/2022)

Exams

State Security Law Exam

Series 63

Date: 1/7/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/12/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/24/2011

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

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

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

Name	Position	CRD#
BLUEROCK ENTERPRISE HOLDINGS, LP	SOLE MEMBER
CONNORS, KAMALA JANINE	CHIEF COMPLIANCE OFFICER	5729659
EMALA, JASON	GENERAL COUNSEL	6690509
KIRSCHENBLATT, CHAD ETHAN	FINOP	2503352
KLEPACKI, JEFFREY G	EXECUTIVE VICE PRESIDENT	2883444
SCHWABER, JEFFREY SCOTT	CHIEF EXECUTIVE OFFICER	1751747

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.

Similar Advisors

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

Ryan Gallo

LPL FINANCIAL LLC

IAR

FULLERTON, CA

Michael Jensen

FALCON WEALTH PLANNING, INC.

IAR

Irvine, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel G. Luis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Gerald Luis's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHOPOFF SECURITIES, INC.

GRIFFIN CAPITAL SECURITIES, LLC

METLIFE INVESTORS DISTRIBUTION COMPANY

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/7/2004

SIE

Date: 10/1/2018

Series 7

Date: 11/12/2003

Series 26

Date: 10/24/2011

FINRA

Current Firm

BLUEROCK CAPITAL MARKETS LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BLUEROCK CAPITAL MARKETS LLC

TRUST BUT VERIFY

Similar Advisors