Arthur J. Duquette

BLUEFIN CAPITAL MANAGEMENT

Chicago, IL 60605

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CRD#: 3158046

Professional summary

Arthur James Duquette, who also goes by Arthur J Duquette, is a registered financial professional 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 24 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Arthur J Duquette

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 Arthur James Duquette'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

April 10, 2007 - Present

BLUEFIN CAPITAL MANAGEMENT, LLC

Office #1: 425 S. Financial Place Ste 900, Chicago, IL 60605

CRD#: 113892

Chicago, IL

Current

April 29, 2010 - Present

CCM SECURITIES, LLC

Office #1: 440 South Lasalle Street Suite 900, Chicago, IL 60605Office #2: 440 S. Lasalle Street Suite 900, Chicago, IL 60605

CRD#: 104457

Chicago, IL

Past

August 16, 2016 - August 11, 2023

GOLD STREET CAPITAL, LLC

CRD#: 282643

Chicago, IL

Past

September 11, 2008 - June 15, 2010

BLUEFIN SPECIALISTS L.L.C.

CRD#: 138150

NEW YORK, NY

Past

April 11, 2001 - November 20, 2003

J.P. MORGAN SECURITIES LLC

CRD#: 79

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

Series 63

Date: 4/5/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/12/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 1/11/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/22/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/3/2010

General Securities Principal Examination

Principal/Supervisory Exam

Series 30

Date: 12/8/2009

NFA Branch Manager Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq PHLX LLC

Current Firm

CCM SECURITIES, LLC

CCM SECURITIES, LLC | TURNING POINT SECURITIES, LLC

CRD#: 104457 / SEC#: , 8-52911

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

440 S. Lasalle Street Suite 900, Chicago, IL 60605

Mailing Address

440 S. Lasalle Street Suite 900, Chicago, IL 60605

Phone number

(312) 577-5602

Established

Illinois since 05/12/2000

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BLUEFIN MARKETS HOLDINGS LP	SOLE MEMBER
DUQUETTE, ARTHUR JAMES	CHIEF EXECUTIVE OFFICER/ PRINCIPAL	3158046
KOLE, MICHAEL HOWARD	CHIEF FINANCIAL OFFICER/ FINOP/PRINCIPAL	4854378
MCGUIGAN, CHRISTOPHER JAMES	CHIEF COMPLIANCE OFFICER	2486075

Disclosures

Regulatory Event

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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Firm Stability Insights

Arthur J. Duquette

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Arthur James Duquette's CRS (Customer Relationship Summary).

Certified licenses

Experience

CCM SECURITIES, LLC

GOLD STREET CAPITAL, LLC

BLUEFIN SPECIALISTS L.L.C.

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/5/2002

Series 57TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 8/12/2009

Series 55

Date: 1/11/2002

Series 7

Date: 8/22/2001

Series 24

Date: 6/3/2010

Series 30

Date: 12/8/2009

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE Arca, Inc.

Nasdaq PHLX LLC

Current Firm

CCM SECURITIES, LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CCM SECURITIES, LLC

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