Matthew S. DiFerdinando

BLUEROCK CAPITAL MARKETS LLC | Senior Vice President

Newport Beach, CA 92660

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CRD#: 5505479

Professional summary

Matthew Stephen DiFerdinando, who also goes by Matthew S Diferdianando, Matthew Difernando, Matthew S Diferdinando, Matthew Diferdinando, is a registered financial professional currently at BLUEROCK CAPITAL MARKETS LLC located in Newport Beach, California.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2008. Matthew has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Matthew S Diferdianando | Matthew Difernando | Matthew S Diferdinando | Matthew Diferdinando

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 Matthew Stephen DiFerdinando'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

June 14, 2021 - Present

BLUEROCK CAPITAL MARKETS LLC

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

CRD#: 136974

Newport Beach, CA

Past

December 2, 2020 - March 8, 2021

WADDELL & REED

RIA

CRD#: 866

LYNNWOOD, WA

Past

October 28, 2020 - March 8, 2021

WADDELL & REED

CRD#: 866

LYNNWOOD, WA

Past

December 3, 2018 - July 8, 2020

BRIGHTHOUSE SECURITIES, LLC

CRD#: 285300

CHARLOTTE, NC

Past

April 7, 2008 - June 22, 2018

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

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

Alaska
(1/7/2022)

California
(6/30/2025)

Idaho
(6/14/2021)

Montana
(6/14/2021)

Nevada
(7/2/2025)

Oregon
(6/14/2021)

Washington
(6/14/2021)

Wyoming
(1/21/2022)

Exams

State Security Law Exam

IAR

Series 65

Date: 11/23/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/17/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/28/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/22/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/5/2008

Investment Company Products/Variable Contracts Representative 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)

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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

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Matthew S. DiFerdinando

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew Stephen DiFerdinando's CRS (Customer Relationship Summary).

Certified licenses

Experience

WADDELL & REED

WADDELL & REED

BRIGHTHOUSE SECURITIES, LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/23/2020

Series 63

Date: 4/17/2008

Series 7TO

Date: 10/28/2020

SIE

Date: 6/22/2018

Series 6

Date: 4/5/2008

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

Contact information

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