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579 Main Street, Bolton, MA 01740 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2014-10-13 |
Branch Locations
358 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 |
|---|---|---|---|---|
| Bolton Global Capital | Bolton | MA | 10/2014 | Present |
| Bolton Securities Corporation | Bolton | MA | 10/2014 | Present |
1)Investment Advisor Representative of Bolton Global Asset Management, doing business under Dow Wealth Management, LLC. Approved for providing IAR services for accounts held at Fidelity, which is outside course of regualr business. Investment related. Conducted from branch location. IAR role represents full-time job and is balanced with providing commission-based business through Bolton as well. Began upon association with current firm. 2)Licensed to sell fixed life and annuities products. Conducted under personal name. Investment related. Conducted from branch location. Has been an ongoing activity since before joining current firm. Spends less than 1 hour per month during and outside trading hours. 3)Talk show host for local radio show in Portland, Maine, not a branch location. Spends approximately 1 hour per month. No securities recommendations made, but may discuss investment related topics.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-11-13 |
| S63 | Uniform Securities Agent State Law Examination | 1995-07-17 |
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