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579 Main Street, Bolton, MA 01740 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-09-21 |
Branch Locations
579 Main Street, Bolton, MA 01740 • United States
1441 Brickell Ave Suite 1700, Miami, FL 33131 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Miami | FL | 09/2011 | 09/2023 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 09/2023 |
| Bolton Global Capital | Bolton | MA | 09/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | Present |
| Bolton Global Asset Management | Miami | FL | 09/2023 | Present |
1) Ernesto is also LICENSED as an IAR. INVESTMENT RELATED AND CONDUCTED FROM BRANCH LOCATION. THIS ROLE REPRESENTS Ernesto's full-TIME JOB IN TANDEM WITH REGISTERED REP INVESTMENT SERVICES. 2) Ernesto maintains a fixed life insurance license through the state of Florida. He may conduct sales from his Branch location. Polices sold are not investment related. Ernesto currently spends no more than 1-hour per month on this activity, but time spent is dependent on sales conducted. He is the contact person for this activity. 3) Ernesto sells Kidnap & Ransom Insurance locally in Colombia. He may conduct sales from his Branch location. Polices sold are not investment related. Ernesto currently spends no more than 1-hour per month on this activity, but time spent is dependent on sales conducted. He is the contact person for this activity. 4) Owner of ECUCALON PWM INC., entity formed in Florida for operating securities and investment advisory businesses as an s-corp. Investment related. Conducted from Branch location. Began 9/22/2023. 4-hours spent managing per month. 5) Co-owner and Manager of 305go, LLC. Company operates and manages vending machines located in Miami, FL. Not investment related. Not conducted from Branch location. Spends less than 1-hour per month on activity. Ernesto is contact person. 6) Owner and Manager of a residential investment property in Miami. Not investment related and not conducted from Branch location. Spends 1 hour per month on activity. 7) Owner and Manager of Proyecto San Miguel, LLC. Company owns and maintains a boat located in Miami. Not investment related and not conducted from Branch location. Spends less than 1 hour per month on activity.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 1997-12-22 |
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