Christopher D. Demale

Some features on this profile are disabled

CRD#: 4732315

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.

Christopher Daniel Demale, who also goes by Christopher Demale, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2004. Christopher had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Christopher Demale

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

October 12, 2015 - May 11, 2016

BLUEROCK CAPITAL MARKETS LLC

CRD#: 136974

NEW YORK, NY

Past

May 1, 2015 - September 21, 2015

WEALTHSPIRE RETIREMENT ADVISORY

RIA

CRD#: 121254

NAPERVILLE, IL

Past

February 12, 2015 - September 24, 2015

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

CHICAGO, IL

Past

December 22, 2008 - June 11, 2010

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

DOWNERS GROVE, IL

Past

March 7, 2008 - June 11, 2010

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

DOWNERS GROVE, IL

Past

September 12, 2006 - November 20, 2007

CALAMOS ADVISORS LLC

RIA

CRD#: 105758

NAPERVILLE, IL

Past

September 12, 2006 - January 7, 2008

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

NAPERVILLE, IL

Past

August 22, 2006 - September 1, 2006

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

WILLOWBROOK, IL

Past

May 5, 2006 - September 1, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

WILLOWBROOK, IL

Past

January 1, 2004 - April 19, 2006

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

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 66

Date: 4/30/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/6/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/11/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/12/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/29/2003

Investment Company Products/Variable Contracts Representative Examination

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Christopher D. Demale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEALTHSPIRE RETIREMENT ADVISORY

KESTRA INVESTMENT SERVICES, LLC

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK DISTRIBUTORS LLC

CALAMOS ADVISORS LLC

CALAMOS FINANCIAL SERVICES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

DWS DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/30/2015

Series 63

Date: 2/6/2004

SIE

Date: 5/11/2016

Series 7

Date: 2/12/2015

Series 6

Date: 12/29/2003

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