JB
Joshua J. Benton
BLUEROCK CAPITAL MARKETS LLC
Newport Beach, CA 92660
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CRD#: 7910054
JB
Professional summary
Joshua James Benton, who also goes by Josh James Benton, Joshua Benton, is a registered financial professional currently at BLUEROCK CAPITAL MARKETS LLC located in Newport Beach, California.
Joshua is registered as a RR (Registered Representative) and started their career in finance in 2024. Joshua has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Josh James Benton | Joshua Benton
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.
CRS (Client Relationship Summary) - BD
Click below to view Joshua James Benton'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®
NoneExperience
Current
August 19, 2024 - Present
BLUEROCK CAPITAL MARKETS LLC
Office #1: 4100 Newport Place Suite 650, Newport Beach, CA 92660BD
CRD#: 136974
Newport Beach, CA
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(9/24/2024)
RR
Alaska(9/24/2024)
RR
Arizona(9/24/2024)
RR
Arkansas(9/24/2024)
RR
California(9/24/2024)
RR
Colorado(8/21/2024)
RR
Connecticut(9/24/2024)
RR
Delaware(9/24/2024)
RR
District of Columbia(8/21/2024)
RR
Florida(8/21/2024)
RR
Georgia(9/24/2024)
RR
Hawaii(9/24/2024)
RR
Idaho(9/24/2024)
RR
Illinois(9/24/2024)
RR
Indiana(9/24/2024)
RR
Iowa(9/24/2024)
RR
Kansas(9/24/2024)
RR
Kentucky(9/24/2024)
RR
Louisiana(8/21/2024)
RR
Maine(9/24/2024)
RR
Maryland(8/21/2024)
RR
Massachusetts(9/24/2024)
RR
Michigan(9/24/2024)
RR
Minnesota(9/24/2024)
RR
Mississippi(9/24/2024)
RR
Missouri(9/24/2024)
RR
Montana(9/24/2024)
RR
Nebraska(9/24/2024)
RR
Nevada(9/24/2024)
RR
New Hampshire(9/24/2024)
RR
New Jersey(9/24/2024)
RR
New Mexico(9/24/2024)
RR
New York(9/24/2024)
RR
North Carolina(9/24/2024)
RR
North Dakota(9/24/2024)
RR
Ohio(9/25/2024)
RR
Oklahoma(9/24/2024)
RR
Oregon(9/24/2024)
RR
Pennsylvania(9/24/2024)
RR
Puerto Rico(8/21/2024)
RR
Rhode Island(9/24/2024)
RR
South Carolina(9/24/2024)
RR
South Dakota(9/24/2024)
RR
Tennessee(9/24/2024)
RR
Texas(9/24/2024)
RR
Utah(9/24/2024)
RR
Vermont(9/24/2024)
RR
Virginia(9/24/2024)
RR
Washington(9/24/2024)
RR
West Virginia(9/24/2024)
RR
Wisconsin(9/24/2024)
RR
Wyoming(9/24/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/19/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
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)
Documents
Direct owners and executive officers
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
