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Lisa Jane Bock

Bluerock Capital Markets LLC

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About Lisa Jane Bock

Lisa Bock is a financial advisor currently registered with Bluerock Capital Markets LLC in Newport Beach, CA. Lisa has been in the industry since 1992. Lisa has passed the Series 7 and Series 63 exams. Lisa is also a registered representative in California and Minnesota. Lisa has previously worked at SC Distributors, LLC, Allianz Life Financial Services, LLC, Woodbury Financial Services, Inc., American Express Financial Advisors Inc., IDS Life Insurance Company, UB Investment Services, Inc., GNA Securities, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Firm Information

Lisa Bock is currently registered with Bluerock Capital Markets LLC. Bluerock Capital Markets LLC is a Limited Liability Company formed in August 2005. The firm is registered with the Securities and Exchange Commission and in all 50 states, as well as in Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

30

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Lisa Bock’s Registration & Firm History

CA

10/22/2019 - Present

Bluerock Capital Markets LLC (Newport Beach CA)

CA

05/06/2013 - 01/15/2019

SC DISTRIBUTORS, LLC (NEWPORT BEACH CA)

MN

11/28/2001 - 08/15/2012

ALLIANZ LIFE FINANCIAL SERVICES, LLC (GOLDEN VALLEY MN)

MN

07/16/1998 - 10/19/2001

WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)

MN

08/21/1996 - 07/01/1998

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

08/21/1996 - 07/01/1998

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

CA

10/11/1993 - 10/09/1995

UB INVESTMENT SERVICES, INC. (GLENDALE CA)

VA

09/20/1991 - 12/22/1993

GNA SECURITIES, INC. (GLEN ALLEN VA)

NY

11/22/1989 - 09/27/1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/20/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/18/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lisa Jane Bock.
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