Brian P. Russell

BLUEFIN INVESTMENT MANAGEMENT

Ponte Vedra Beach, FL

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CRD#: 4746031

Professional summary

Brian P. Russell is a registered financial advisor currently at BLUEFIN INVESTMENT MANAGEMENT, LLC located in Ponte Vedra Beach, Florida.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Brian has worked at 4 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Brian P. Russell'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 22, 2009 - Present

BLUEFIN INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 149904

Ponte Vedra Beach, FL

Past

June 7, 2007 - October 24, 2007

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

TAMPA, FL

Past

July 19, 2004 - April 8, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHARLESTON, SC

Past

June 28, 2004 - April 8, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 22, 2004 - July 2, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(7/22/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/13/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/16/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/21/2004

General Securities Representative Examination

Current Firm

BLUEFIN INVESTMENT MANAGEMENT, LLC

BLUEFIN INVESTMENT MANAGEMENT | BLUEFIN INVESTMENT MANAGEMENT, LLC

CRD#: 149904 / SEC#:

Florida

Registered Investment Advisory firm - (7/22/2009 Approved)

North Carolina

Registered Investment Advisory firm - (10/28/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Ponte Vedra Beach, FL

Mailing Address

130 Corridor Rd. #241, Ponte Vedra Beach, FL 32004

Phone number

(904) 834-3309

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 500,000

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.

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Brian P. Russell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian P. Russell's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLUEFIN INVESTMENT MANAGEMENT, LLC

FIRST ALLIED SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/13/2009

Series 66

Date: 7/16/2004

Series 7

Date: 1/21/2004

Current Firm

BLUEFIN INVESTMENT MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BLUEFIN INVESTMENT MANAGEMENT, LLC

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