AT
Arturo A. Tabuenca
BLUE MARBLE INVESTMENTS
SANTA BARBARA, CA 93101
Some features on this profile are disabled
CRD#: 2134379
AT
Professional summary
Arturo Andres Tabuenca, who also goes by Tabuenca Arthur Andrew, Arturo Tabuenca, is a registered financial advisor currently at BLUE MARBLE INVESTMENTS located in Santa Barbara, California and PURSHE KAPLAN STERLING INVESTMENTS located in Santa Barbara, California.
Arturo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Arturo has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tabuenca Arthur Andrew | Arturo Tabuenca
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.
1. Blue Marble Investments. Investment Related. At Registered Location. RIA. IAR/President. 1/2007. 80. 80. Primarily Servicing Existing Clients and Portfolio Managment. 2. In addition to the investment advisory services he provides through Blue Marble, Arturo Tabuenca, Blue Marble's Portfolio Manager, is also a licensed insurance agent and a registered securities representative of Purshe Kaplan Sterling Investments ("PKS"), a non-affiliated registered broker-dealer and a member of the Financial Industry Regulation Authority ("FINRA"). Mr. Tabuenca's activities with PKS represent less than 5% of his time and are generally only conducted upon client request or for products outside the scope of Blue Marble's socially responsible objective. A conflict of interest exists to the extent that Mr. Tabuenca receives commissions and/or trailing service fees related to the sale of commissionable products, as this practice gives him an incentive to recommend products based on the compensation received, rather than on the client's needs. Therefore, clients are advised that the client is under no obligation to act on these recommendations or purchase commissionable products through Mr. Tabuenca as a registered representative. In all cases, insurance commissions will be fully disclosed to the client. Commissions from these products are separate from any fees that Blue Marble receives for advisory services. Clients have the right to utilize or decline to utilize the services of any representative of Blue Marble in their outside capacity and have the right to purchase services or products recommended by Blue Marble through another provider.
CRS (Client Relationship Summary) - RIA
Click below to view Arturo Andres Tabuenca'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
April 5, 2007 - Present
BLUE MARBLE INVESTMENTS
Office #1: 1117 State St. #85, Santa Barbara, CA 93101RIA
CRD#: 141354
SANTA BARBARA, CA
Current
January 7, 2015 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 3345 State Street #3335, Santa Barbara, CA 93130BD
CRD#: 35747
Santa Barbara, CA
Past
July 31, 2009 - December 31, 2014
SORRENTO PACIFIC FINANCIAL, LLC
BD
CRD#: 127787
SAN LUIS OBISPO, CA
Past
April 5, 2007 - January 6, 2024
BLUE MARBLE INVESTMENTS
RIA
CRD#: 141354
SAN LUIS OBISPO, CA
Past
November 6, 2006 - July 31, 2009
PARTNERVEST SECURITIES, INC.
BD
CRD#: 104134
SAN LUIS OBISPO, CA
Past
August 16, 2000 - November 2, 2006
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
LONG BEACH, CA
Past
August 14, 2000 - November 2, 2006
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
LONG BEACH, CA
Past
July 12, 1999 - August 28, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
August 6, 1993 - July 12, 1999
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
January 23, 1992 - July 30, 1993
GREAT AMERICAN SECURITIES INC.
BD
CRD#: 7504
Past
April 24, 1991 - July 25, 1991
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
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".
BM
BLUE MARBLE INVESTMENTS
BLUE MARBLE INVESTMENTS | EARTHFOLIO | BLUE MARBLE INVESTMENTS, LLC
CRD#: 141354 / SEC#: 801-120447
RIA
Registered Investment Advisory firm - (3/5/2021 Approved)California
Registered Investment Advisory firm - (4/29/2021 Terminated)Colorado
Registered Investment Advisory firm - (4/16/2021 Terminated)Illinois
Registered Investment Advisory firm - (5/26/2021 Terminated)Louisiana
Registered Investment Advisory firm - (4/1/2021 Terminated)Maryland
Registered Investment Advisory firm - (3/30/2021 Terminated)Massachusetts
Registered Investment Advisory firm - (3/30/2021 Terminated)New York
Registered Investment Advisory firm - (3/30/2021 Terminated)Oregon
Registered Investment Advisory firm - (4/5/2021 Terminated)Washington
Registered Investment Advisory firm - (4/30/2021 Terminated)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.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
IAR
California(4/5/2007)
RR
California(1/7/2015)
RR
Colorado(1/7/2015)
RR
Illinois(4/21/2016)
RR
Maryland(10/15/2021)
RR
Massachusetts(2/2/2024)
RR
New Mexico(6/15/2022)
RR
New York(1/7/2015)
RR
North Carolina(6/15/2022)
IAR
Texas(1/22/2024)
RR
Washington(3/1/2019)
RR
Wisconsin(6/15/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BM
BLUE MARBLE INVESTMENTS
BLUE MARBLE INVESTMENTS | EARTHFOLIO | BLUE MARBLE INVESTMENTS, LLC
CRD#: 141354 / SEC#: 801-120447
RIA
Registered Investment Advisory firm - (3/5/2021 Approved)California
Registered Investment Advisory firm - (4/29/2021 Terminated)Colorado
Registered Investment Advisory firm - (4/16/2021 Terminated)Illinois
Registered Investment Advisory firm - (5/26/2021 Terminated)Louisiana
Registered Investment Advisory firm - (4/1/2021 Terminated)Maryland
Registered Investment Advisory firm - (3/30/2021 Terminated)Massachusetts
Registered Investment Advisory firm - (3/30/2021 Terminated)New York
Registered Investment Advisory firm - (3/30/2021 Terminated)Oregon
Registered Investment Advisory firm - (4/5/2021 Terminated)Washington
Registered Investment Advisory firm - (4/30/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1117 State St. #85, Santa Barbara, CA 93101
Mailing Address
Phone number
(805) 595-1820
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 407 |
| AUM (Assets Under Management) | $ 181,448,959 |
Red Flags
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Company Information
BLUE MARBLE INVESTMENTS
CRD#: 141354Santa Barbara, CA 93101TRUST BUT VERIFY
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Contact information
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