Business Continuity Plan (BCP) Disclosure

 Bluerock Capital Markets, LLC has developed a business continuity plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. Because we do not carry customer accounts or maintain custody of funds or securities, our BCP is more limited than it would be if we were a full-service broker dealer. With that in mind, we are providing you with this information on our business continuity plan. 

Contacting Us – If after a significant business disruption you cannot contact us as you usually do at (949) 407-4710 or, you can go to our website at to see how we plan to continue business and how to contact us. 

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment and protecting the firm’s books and records. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption. 

Our business continuity plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact and regulatory reporting. 

Varying Disruptions – Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area and recover and resume business as soon as possible. In either situation, we plan to continue in business and notify you through our website, on how to contact us. 

For more information – If you have questions about our business continuity planning, you can contact us at (949) 407-4710 or email: