Richard F. Carolan

BLUE FIN CAPITAL

PROVIDENCE, RI 02903

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CRD#: 1544525

Professional summary

Richard Francis Carolan JR, who also goes by Richard F Carolan, is a registered financial advisor currently at BLUE FIN CAPITAL, INC. located in Providence, Rhode Island.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Richard has worked at 2 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard F Carolan

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.

TREASURER OF TRIPLE C EQUIPMENT CORP, 1958 BROADWAY, RAYNHAM, MA SINCE ITS INCORPORATION IN 1996. DEVOTES APPROX. 3 HOURS PER MONTH TO THIS BUSINESS BUT NOT DURING BUSINESS HOURS OF BLUE FIN CAPITAL, INC. DUTIES ARE REVIEWING QUARTERLY AND ANNUAL FINANCIAL STATEMENTS. GILBANE BUILDING COMPANY 7 JACKSON WALKWAY, PROVIDENCE, RI 02903. INHERITED PRIVATE COMPANY STOCK AS A CHILD, JOINED BOARD OF DIRECTORS IN 2016. DEVOTE 1 HOUR PER MONTH BUT NOT DURING BUSINESS HOURS OF BLUE FIN. DUTIES INCLUDE ANNUAL MEETING AND REVIEWING OF COMPANY FUNCTIONS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Francis Carolan JR's CRS (Customer Relationship Summary).

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

May 15, 1996 - Present

BLUE FIN CAPITAL, INC.

Office #1: 10 Weybosset Street 3rd Floor, Providence, RI 02903

RIA

CRD#: 108451

PROVIDENCE, RI

Past

June 20, 1996 - February 3, 2003

CAROLAN & CO., INC.

CRD#: 7016

PROVIDENCE, RI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BLUE FIN CAPITAL, INC.

BLUE FIN CAPITAL, INC. | GRANITE POINT CAPITAL, INC. | GRANITE CAPITAL GROUP, INC. | GRANITE CAPITAL GROUP INC

CRD#: 108451 / SEC#: 801-56127

RIA

Registered Investment Advisory firm - (12/23/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Rhode Island
(5/15/1996)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/22/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/20/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/11/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/26/1996

General Securities Principal Examination

Current Firm

BLUE FIN CAPITAL, INC.

BLUE FIN CAPITAL, INC. | GRANITE POINT CAPITAL, INC. | GRANITE CAPITAL GROUP, INC. | GRANITE CAPITAL GROUP INC

CRD#: 108451 / SEC#: 801-56127

RIA

Registered Investment Advisory firm - (12/23/1998 Approved)

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Contact information

Main Address

91 Main Street Suite 118, Warren, RI 02885

Mailing Address

Phone number

(401) 454-0772

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV II BLUE FIN BROCHURE (3/10/2025)

Regulatory assets under management

Total Number of Accounts	651
AUM (Assets Under Management)	$ 650,645,952

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.

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Richard F. Carolan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Francis Carolan JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLUE FIN CAPITAL, INC.

CAROLAN & CO., INC.

Primary Firm SEC Registration

BLUE FIN CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/22/1996

Series 63

Date: 6/20/1996

Series 7

Date: 6/11/1996

Series 24

Date: 7/26/1996

Current Firm

BLUE FIN CAPITAL, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BLUE FIN CAPITAL, INC.

TRUST BUT VERIFY

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