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TR

Thomas N. Rossie

BLUEROCK CAPITAL MARKETS LLC
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 5922945
TR

Professional summary

Thomas Newman Rossie is a registered financial professional currently at BLUEROCK CAPITAL MARKETS LLC located in Newport Beach, California.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2011. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE 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) - BD

Click below to view Thomas Newman Rossie'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 14, 2017 - Present

BLUEROCK CAPITAL MARKETS LLC

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

March 3, 2016 - July 12, 2017

PREFERRED CAPITAL SECURITIES, LLC

BD
CRD#: 169719
ATLANTA, GA
Past

April 23, 2015 - March 1, 2016

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
BIRMINGHAM, AL
Past

April 21, 2015 - March 1, 2016

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
BIRMINGHAM, AL
Past

August 22, 2011 - April 2, 2014

INVESCO ADVISERS, INC.

RIA
CRD#: 105360
ATLANTA, GA
Past

June 15, 2011 - April 2, 2014

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
DOWNERS GROVE, IL

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
Alabama
(8/8/2019)
RR
Arkansas
(8/8/2019)
RR
Louisiana
(8/8/2019)
RR
Mississippi
(8/8/2019)
RR
Tennessee
(8/8/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/18/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/18/2011
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: 6/14/2011
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)

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#: 136974Newport Beach, CA 92660

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