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579 Main Street, Bolton, MA 01740 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2006-09-25 |
| MA | RA | APPROVED | 2006-01-30 |
Branch Locations
134 Us Route One, Falmouth, ME 04105 • United States
579 Main Street, Bolton, MA 01740 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Delta Equity Services Corporation | Bolton | MA | 10/2005 | Present |
| Bolton Securities Corp. | Bolton | MA | 01/2006 | Present |
1) Investment Advisor Representative of Bolton Global Asset Management, doing business as Dow Capital Management, LLC. Acting as Managing director and Financial Advisor. Investment related and conducted from branch location. This activity represents the representative's full-time job, balanced with activities as registered representative and management duties of branch. Began upon association with current firm. 2) Co-owner of Dow Capital Management, LLC, entity created to operate securities and investment advisory services, including payment of branch expenses. Approximately 1 hour spent per month on activity. Began 12/6/2011. 3) Co-owner of 134 R.O.R.E., LLC, real estate holding company created to own and operate building from which branch operates. Not investment related. Conducted at branch location. Spends approximately 1 hour per month during business hours on activity. Began 12/6/2011. 4) Fixed insurance licensed but does not sell products. Only utilized for VA products at B/D
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-08-24 |
| S63 | Uniform Securities Agent State Law Examination | 1991-07-16 |
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