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MG

Michael J. Goodwin

BLUEFIN CAPITAL MANAGEMENT
New York, NY 10010
Some features on this profile are disabled
CRD#: 2400905
MG

Professional summary

Michael Joseph Goodwin JR, who also goes by Michael Goodwin, Mike Goodwin Jr, is a registered financial professional currently at BLUEFIN CAPITAL MANAGEMENT, LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 5 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Goodwin | Mike Goodwin Jr

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Joseph Goodwin JR'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®
None

Experience

Current

July 2, 2024 - Present

BLUEFIN CAPITAL MANAGEMENT, LLC

Office #1: 41 Madison Avenue 36th Floor, New York, NY 10010
BD
CRD#: 113892
New York, NY
Past

June 15, 2009 - October 1, 2018

BLUEFIN CAPITAL MANAGEMENT, LLC

BD
CRD#: 113892
NEW YORK, NY
Past

September 11, 2008 - June 15, 2010

BLUEFIN SPECIALISTS L.L.C.

BD
CRD#: 138150
NEW YORK, NY
Past

December 1, 2005 - May 15, 2008

BLUEFIN SPECIALISTS L.L.C.

BD
CRD#: 138150
NEW YORK, NY
Past

January 7, 2004 - May 15, 2008

BLUEFIN CAPITAL MANAGEMENT, LLC

BD
CRD#: 113892
NEW YORK, NY
Past

March 2, 1998 - November 30, 1999

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

February 18, 1997 - March 2, 1998

NATWEST SECURITIES CORPORATION

BD
CRD#: 18238
NEW YORK, NY
Past

February 21, 1995 - January 31, 1997

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/11/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 11/27/1995
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/9/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/16/1997
General Securities Principal Examination
SRO Registrations
RR
NYSE Arca, Inc.

Current Firm

BC
BLUEFIN CAPITAL MANAGEMENT, LLC
BLUEFIN CAPITAL MANAGEMENT, LLC | BLUEFIN TRADING, LLC

CRD#: 113892 / SEC#: , 8-53382

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
41 Madison Avenue 36th Floor, New York, NY 10010
Mailing Address
41 Madison Avenue 36th Floor, New York, NY 10010
Phone number
(212) 457-9150
Established
New York since 05/07/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BLUEFIN HOLDINGS II, L.P.SOLE MEMBER
CHAN, BERTRAND KERWINMANAGER2838159
DUQUETTE, ARTHUR JAMESMANAGER3158046
JACOBUS, JEFFREY ACHIEF COMPLIANCE OFFICER2731296
KOLE, MICHAEL HOWARDCFO/ FINOP4854378
KRAMER, SCOTT MATTHEWMANAGER4422410
ZAVILEVICH, GENNADYMANAGER4071735

Disclosures

Regulatory Event18

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

BLUEFIN CAPITAL MANAGEMENT, LLC

CRD#: 113892New York, NY 10010

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