Brandon Balazi

SATURNA CAPITAL

Chicago, IL

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CRD#: 6045024

Professional summary

Brandon Balazi, who also goes by Brandon M Balazi, Brandon Balazi, is a registered financial advisor currently at SATURNA CAPITAL CORPORATION located in Chicago, Illinois and SATURNA BROKERAGE SERVICES, INC located in Bellingham, Washington.

Brandon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Brandon has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Brandon 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

April 10, 2026 - Present

SATURNA CAPITAL CORPORATION

RIA

CRD#: 25586

Chicago, IL

Current

October 13, 2025 - Present

SATURNA BROKERAGE SERVICES, INC

Office #1: 1300 N. State Street, Bellingham, WA 98225-4730Office #2: 1300 N. State St., Bellingham, WA 98225

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

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SATURNA CAPITAL CORPORATION

EMERALD CAPITAL CORPORATION | STERLING STOCK INVESTMENTS LLC | SATURNA CAPITAL CORPORATION

CRD#: 25586 / SEC#: 801-35428, 8-41998

RIA

Registered Investment Advisory firm - FINRA (10/30/1989 Approved)

Terminated by FINRA on 11/02/1990

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.

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)

IAR

Washington
(4/10/2026)

West Virginia
(10/13/2025)

Wisconsin
(10/13/2025)

Wyoming
(10/13/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/10/2026

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 CAPITAL CORPORATION

EMERALD CAPITAL CORPORATION | STERLING STOCK INVESTMENTS LLC | SATURNA CAPITAL CORPORATION

CRD#: 25586 / SEC#: 801-35428, 8-41998

RIA

Registered Investment Advisory firm - FINRA (10/30/1989 Approved)

Terminated by FINRA on 11/02/1990

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Contact information

Main Address

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

Mailing Address

Phone number

(360) 734-9900

Established

Washington since 07/25/1989

Firm type

Corporation

Fiscal year end

June

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 - FIRM BROCHURE (2/27/2026)

FORM ADV PART 2A - APPENDIX 1, WRAP FEE PROGRAM BROCHURE (2/27/2026)

Regulatory assets under management

Total Number of Accounts	128
AUM (Assets Under Management)	$ 8,624,828,208

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
01/28/2025	Cover Page	Report
01/26/2024	Cover Page	Report

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 Balazi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SATURNA CAPITAL CORPORATION

SATURNA BROKERAGE SERVICES, INC

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

Primary Firm SEC Registration

SATURNA CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 4/10/2026

SIE

Date: 10/1/2018

Series 7

Date: 3/7/2013

FINRA

Current Firm

SATURNA CAPITAL CORPORATION

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SATURNA CAPITAL CORPORATION

TRUST BUT VERIFY

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