Guillermo R Rossi

Current Employers

Employment History

• 06/2011 → 06/2023
  Ubs Financial Services Inc
  New York, NY
• 06/2023 → Present
  Bolton Global Capital
  Bolton, MA
• 06/2023 → Present
  Bolton Global Asset Management
  Bolton, MA

Previous Registrations

• 2021-10-26 → 2023-06-27
  Ubs Financial Services Inc.
  New York, NY

Other Businesses

1. OWNER AND 'MANAGING DIRECTOR' OF 'NY CAPITAL MARKETS LLC', ENTITY CREATED IN JUNE, 2023 IN NEW YORK FOR OPERATING SECURITIES AND INVESTMENT ADVISORY SERVICES BY ACTING AS DBA. LOCATED AT 56 Highgate Circle, Ithaca, NY 14850. REP IS CONTACT PERSON. DOES NOT SPEND MORE THAN 1-HOUR PER MONTH ON ACTIVITY. 2. OWNER AND MANAGER OF MARTIK LLC, ENTITY CREATED IN JUNE, 2023 IN NEW YORK FOR OPERATING SECURITIES AND INVESTMENT ADVISORY SERVICES. NOT A PUBLIC-FACING ENTITY. LOCATED AT 56 Highgate Circle, Ithaca, NY 14850. REP IS CONTACT PERSON. DOES NOT SPEND MORE THAN 1-HOUR PER MONTH ON ACTIVITY. 3. GUILLERMO IS ALSO LICENSED WITH BOLTON SECURITIES CORPORATION, AN SEC LICENSED IAR. INVESTMENT RELATED AND CONDUCTED FROM BRANCH LOCATION. THIS ROLE REPRESENTS GUILLERMO'S ROLE-TIME JOB IN TANDEM WITH REGISTERED REP INVESTMENT SERVICES. HE IS APPROVED TO PROVIDE INVESTMENT ADVISORY SERVICES FOR CLIENTS HELD AT CHARLES SCHWAB. 4. OWNER AND SOLE MEMBER OF FINGER LAKES CRIOLLOS, LLC. ENTITY CREATED IN MARCH 2026. PURPOSE OF ENTITY IS TO PURCHASE AND IMPORT HORSES FROM ARGENTINA FOR PERSONAL USE. LESS THAN 1 HOUR SPENT PER MONTH. NOT INVESTMENT RELATED AND CONDUCTED FROM BRANCH LOCATION.

Exams

• S63 Uniform Securities Agent State Law Examination
  2009-11-25