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SM

Steve A. Mullane

BLUEFIN RESEARCH PARTNERS
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 4592713
SM

Professional summary

Steve Alan Mullane is a registered financial professional currently at BLUEFIN RESEARCH PARTNERS, INC. located in Boston, Massachusetts.

Steve is registered as a RR (Registered Representative) and started their career in finance in 2002. Steve has worked at 3 firms and has passed the Series 63, SIE, Series 86, Series 87 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) - BD

Click below to view Steve Alan Mullane'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

February 17, 2010 - Present

BLUEFIN RESEARCH PARTNERS, INC.

Office #1: 133 Federal St Suite 301, Boston, MA 02110
BD
CRD#: 119582
BOSTON, MA
Past

June 7, 2007 - July 6, 2009

MOORS & CABOT, INC.

BD
CRD#: 594
PHOENIX, AZ
Past

August 25, 2006 - May 31, 2007

M. S. HOWELLS & CO.

BD
CRD#: 104100
SCOTTSDALE, AZ
Past

November 20, 2002 - July 25, 2006

BLUEFIN RESEARCH PARTNERS, INC.

BD
CRD#: 119582
BOSTON, MA

State Registrations and Notice Filings

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

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

RR
Arizona
(2/17/2010)
RR
California
(2/17/2010)
RR
Massachusetts
(2/17/2010)
RR
Virginia
(1/6/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 12/20/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 5/2/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 2/22/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 11/19/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BR
BLUEFIN RESEARCH PARTNERS, INC.
BLUEFIN RESEARCH PARTNERS, INC.

CRD#: 119582 / SEC#: , 8-65196

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

Main Address
133 Federal St Suite 301, Boston, MA 02110
Mailing Address
133 Federal St Suite 301, Boston, MA 02110
Phone number
(617) 737-5700
Established
Delaware since 11/14/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KRITZER, BRIAN MARKMANAGING PARTNER, TREAS, FINOP1541993
PETERSON, PAUL DAVIDPRESIDENT5350638
BATTISTA, GERALD ANTHONYCHIEF COMPLIANCE OFFICER/SHAREHOLDER2823683

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 RESEARCH PARTNERS, INC.

CRD#: 119582Boston, MA 02110

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