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BK

Brandon Kornhaber

Some features on this profile are disabled
CRD#: 3102612
BK

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Brandon Kornhaber was a registered financial professional .

Brandon is a previously registered financial professional and started their career in finance in 1998. Brandon had worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 9, 2016 - November 16, 2018

BLUEFIN CAPITAL MANAGEMENT, LLC

BD
CRD#: 113892
NEW YORK, NY
Past

July 13, 2009 - February 26, 2016

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

December 18, 1998 - August 11, 2004

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
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: 8/26/2009
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/22/1999
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/9/2009
General Securities Representative Examination

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.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BLUEFIN CAPITAL MANAGEMENT, LLC

CRD#: 113892

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