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MK

Michael H. Kole

BLUEFIN CAPITAL MANAGEMENT
Chicago, IL 60605
Some features on this profile are disabled
CRD#: 4854378
MK

Professional summary

Michael Howard Kole, who also goes by Michael H Kole, is a registered financial professional currently at BLUEFIN CAPITAL MANAGEMENT, LLC located in Chicago, Illinois and CCM SECURITIES, LLC located in Chicago, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 9 firms and has passed the Series 57TO, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael H Kole

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 Michael Howard Kole'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 25, 2008 - Present

BLUEFIN CAPITAL MANAGEMENT, LLC

Office #1: 425 S. Financial Place Ste 900, Chicago, IL 60605
BD
CRD#: 113892
Chicago, IL
Current

April 29, 2010 - Present

CCM SECURITIES, LLC

Office #1: 440 S. Lasalle Street Suite 900, Chicago, IL 60605
BD
CRD#: 104457
Chicago, IL
Past

August 16, 2016 - August 11, 2023

GOLD STREET CAPITAL, LLC

BD
CRD#: 282643
Chicago, IL
Past

February 14, 2011 - July 1, 2011

CCM EQUITIES, LLC

BD
CRD#: 149084
CHICAGO, IL
Past

September 1, 2010 - October 22, 2010

FORMATION HOLDINGS, LLC

BD
CRD#: 150089
NEW YORK, NY
Past

May 21, 2009 - June 15, 2010

BLUEFIN SPECIALISTS L.L.C.

BD
CRD#: 138150
NEW YORK, NY
Past

October 18, 2006 - March 2, 2007

UBS SECURITIES LLC

BD
CRD#: 7654
CHICAGO, IL
Past

July 27, 2006 - March 2, 2007

UBS CLEARING SERVICES CORPORATION

BD
CRD#: 44883
CHICAGO, IL
Past

August 30, 2005 - October 6, 2006

ABN AMRO INCORPORATED

BD
CRD#: 15776
CHICAGO, IL

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

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/10/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/24/2011
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/16/2009
Financial and Operations Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC

Current Firm

CS
CCM SECURITIES, LLC
CCM SECURITIES, LLC | TURNING POINT SECURITIES, LLC

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

BD
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)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BLUEFIN MARKETS HOLDINGS LPSOLE MEMBER
DUQUETTE, ARTHUR JAMESCHIEF EXECUTIVE OFFICER/ PRINCIPAL3158046
KOLE, MICHAEL HOWARDCHIEF FINANCIAL OFFICER/ FINOP/PRINCIPAL4854378
MCGUIGAN, CHRISTOPHER JAMESCHIEF COMPLIANCE OFFICER2486075

Disclosures

Regulatory Event2

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

CCM SECURITIES, LLC

CRD#: 104457Chicago, IL 60605

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