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579 Main Street, Bolton, MA 01740 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-06-19 |
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 | Aventura | FL | 08/2012 | 06/2023 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 06/2023 |
| Bolton Global Capital | Bolton | MA | 06/2023 | Present |
| Bolton Global Asset Management | Bolton | MA | 06/2023 | Present |
1) SERGIO IS ALSO LICENSED WITH BOLTON SECURITIES CORPORATION, AN SEC LICENSED IAR. INVESTMENT RELATED AND CONDUCTED FROM BRANCH LOCATION. THIS ROLE REPRESENTS SERGIO's FULL-TIME JOB IN TANDEM WITH REGISTERED REP INVESTMENT SERVICES. 2) OWNER AND MANAGER OF SDS WEALTH MANAGEMENT, LLC, ENTITIY CREATED TO OPERATE SECURITIES AND INVESTMENT ADVISORY BUSINESSES. NOT DIRECTLY INVESTMENT RELATED. CONDUCTED FROM BRANCH LOCATION. BEGAN JULY, 2023. SERGIO IS CONTACT PERSON. HOURS SPENTS MANAGING ACTIVITY DOES NOT APPLY, LESS THAN 1.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 2011-08-26 |
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