Sergio Sotolongo

Employer firm

Bolton Securities Corporation CRD 129376

$8.28B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2012 → 06/2023
  Morgan Stanley Smith Barney
  Aventura, FL
• 01/2015 → 06/2023
  Morgan Stanley Private Bank, National Association
  New York, NY
• 06/2023 → Present
  Bolton Global Capital
  Bolton, MA
• 06/2023 → Present
  Bolton Global Asset Management
  Bolton, MA

Previous Registrations

• 2014-05-06 → 2023-06-06
  Morgan Stanley
  Aventura, FL

Other Businesses

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.

Exams

• S66 Uniform Combined State Law Examination
  2014-05-03
• S63 Uniform Securities Agent State Law Examination
  2011-08-26