Adam A. Gall
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Adam Alexander Gall, who also goes by Adam Gall, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2008. Adam had worked at 2 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2009 - June 15, 2010
BLUEFIN SPECIALISTS L.L.C.
October 22, 2008 - July 31, 2014
BLUEFIN CAPITAL MANAGEMENT, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BLUEFIN SPECIALISTS L.L.C.
CRD#: 138150 / SEC#: , 8-67152
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLUEFIN MARKET HOLDINGS LP | GENERAL PARTNER | |
| CHAN, BERTRAND KERWIN | MANAGING MEMBER | 2838159 |
| DUQUETTE, ARTHUR JAMES | MANAGING MEMBER | 3158046 |
| GOODWIN, MICHAEL JOSEPH JR | MANAGER/EXECUTIVE OFFICER | |
| GORMAN, SHAWN CHARLES | MANAGING MEMBER | 4397387 |
| KOLE, MICHAEL HOWARD | CFO/ AML COMPLIANCE OFFICER | 4854378 |
| MEYER, STEVEN DANIEL | MANAGING MEMBER | 1455831 |
Disclosures
| Regulatory Event | 2 |
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.
