Arthur James Duquette
Professional Summary
Arthur James Duquette, who also goes by Arthur J Duquette, is a registered financial advisor currently at BLUEFIN CAPITAL MANAGEMENT, LLC located in Chicago, Illinois and CCM SECURITIES, LLC located in Chicago, Illinois. Arthur is registered as a RR (Registered Representative) and started their career in finance in 2001. Arthur has worked at 5 firms and has passed the Series 63, Series 57TO, Series 7TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Arthur J Duquette
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
CCM SECURITIES, LLC | TURNING POINT SECURITIES, LLC
Contact Information
Main Address
440 S. Lasalle Street Suite 900, Chicago, IL 60605Mailing Address
440 S. Lasalle Street Suite 900, Chicago, IL 60605Phone Number
(312) 577-5602Established
Illinois since 05/12/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jan 2002SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Arthur James Duquette's CRS (Customer Relationship Summary).
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