Brandon M. Balazi

SATURNA BROKERAGE SERVICES,

BELLINGHAM, WA 98225-4730

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CRD#: 6045024

Professional summary

Brandon M Balazi, who also goes by Brandon M Balazi, Brandon Balazi, is a registered financial professional currently at SATURNA BROKERAGE SERVICES, INC located in Bellingham, Washington.

Brandon is registered as a RR (Registered Representative) and started their career in finance in 2013. Brandon has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brandon M Balazi | Brandon Balazi

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 Brandon M Balazi's CRS (Customer Relationship Summary).

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

October 13, 2025 - Present

SATURNA BROKERAGE SERVICES, INC

Office #1: 1300 N. State Street, Bellingham, WA 98225-4730

CRD#: 18437

BELLINGHAM, WA

Past

February 23, 2023 - July 3, 2025

ALPS DISTRIBUTORS, INC.

CRD#: 16853

Chicago, IL

Past

May 19, 2015 - February 15, 2023

ASTOR INVESTMENT MANAGEMENT LLC

RIA

CRD#: 169679

CHICAGO, IL

Past

May 14, 2015 - February 15, 2023

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

February 25, 2015 - April 15, 2015

CEDAR CAPITAL, LLC

RIA

CRD#: 174020

CHICAGO, IL

Past

January 30, 2015 - April 16, 2015

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Chicago, IL

Past

January 2, 2014 - October 20, 2014

ASTOR INVESTMENT MANAGEMENT LLC

RIA

CRD#: 169679

CHICAGO, IL

Past

July 25, 2013 - January 8, 2014

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

CHICAGO, IL

Past

July 19, 2013 - June 11, 2014

NATIONAL SECURITIES CORPORATION

CRD#: 7569

CHICAGO, IL

Past

April 18, 2013 - July 15, 2013

ASTOR ASSET MANAGEMENT LLC

RIA

CRD#: 116408

CHICAGO, IL

Past

March 8, 2013 - July 15, 2013

VIRTU AMERICAS LLC

CRD#: 149823

CHICAGO, IL

State Registrations and Notice Filings

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

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

Alabama
(10/13/2025)

Alaska
(10/13/2025)

Arizona
(10/13/2025)

Arkansas
(10/13/2025)

California
(10/13/2025)

Colorado
(10/13/2025)

Connecticut
(10/13/2025)

Delaware
(10/13/2025)

District of Columbia
(10/13/2025)

Florida
(10/13/2025)

Georgia
(10/13/2025)

Hawaii
(10/13/2025)

Idaho
(10/13/2025)

Illinois
(10/13/2025)

Indiana
(10/13/2025)

Iowa
(10/13/2025)

Kansas
(10/13/2025)

Kentucky
(10/13/2025)

Louisiana
(10/13/2025)

Maine
(10/13/2025)

Maryland
(10/13/2025)

Massachusetts
(10/13/2025)

Michigan
(10/13/2025)

Minnesota
(10/13/2025)

Mississippi
(10/13/2025)

Missouri
(10/13/2025)

Montana
(10/13/2025)

Nebraska
(10/13/2025)

Nevada
(10/13/2025)

New Hampshire
(10/13/2025)

New Jersey
(10/13/2025)

New Mexico
(10/13/2025)

New York
(10/13/2025)

North Carolina
(10/13/2025)

North Dakota
(10/13/2025)

Ohio
(10/13/2025)

Oklahoma
(10/13/2025)

Oregon
(10/13/2025)

Pennsylvania
(10/13/2025)

Puerto Rico
(10/13/2025)

Rhode Island
(10/13/2025)

South Carolina
(10/13/2025)

South Dakota
(10/13/2025)

Tennessee
(10/13/2025)

Texas
(10/13/2025)

Utah
(10/13/2025)

Vermont
(10/13/2025)

Virginia
(10/13/2025)

Washington
(10/13/2025)

West Virginia
(10/13/2025)

Wisconsin
(10/13/2025)

Wyoming
(10/13/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 4/17/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/7/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SATURNA BROKERAGE SERVICES, INC

INVESTORS NATIONAL CORPORATION | SATURNA BROKERAGE SERVICES, INC | INVESTORS NORTHWEST, INC.

CRD#: 18437 / SEC#: , 8-36558

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

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Contact information

Main Address

1300 N. State Street, Bellingham, WA 98225-4730

Mailing Address

1300 N. State Street, Bellingham, WA 98225-4730

Phone number

(360) 734-1266

Established

Washington since 07/21/1986

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SATURNA CAPITAL CORPORATION	100% OWNER
CARTEN, JANE KAISER	DIRECTOR	2929087
CARTEN, JANE KAISER	CEO AND PRESIDENT	2929087
FANKHAUSER, CHRISTOPHER REED	COO	2857015
FANKHAUSER, CHRISTOPHER REED	DIRECTOR	2857015
HANNA, KALEN MARTIN	CFO	5710886
HANNA, KALEN MARTIN	TREASURER	5710886
HANNA, KALEN MARTIN	DIRECTOR	5710886
STEWART, JACOB ANDREW	CCO AND AML OFFICER	5456089

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.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Brandon M. Balazi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brandon M Balazi's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

ASTOR INVESTMENT MANAGEMENT LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

CEDAR CAPITAL, LLC

FORESIDE FUND SERVICES, LLC

ASTOR INVESTMENT MANAGEMENT LLC

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

ASTOR ASSET MANAGEMENT LLC

VIRTU AMERICAS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/17/2013

SIE

Date: 10/1/2018

Series 7

Date: 3/7/2013

FINRA

Current Firm

SATURNA BROKERAGE SERVICES, INC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SATURNA BROKERAGE SERVICES, INC

TRUST BUT VERIFY

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