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Current Employers
Bolton Securities Corporation

579 Main Street, Bolton, MA 01740 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2014-10-13
  • ME RA
    APPROVED
    Since 2014-10-13

Branch Locations

358 Us Route One, Falmouth, ME 04105 • United States

579 Main Street, Bolton, MA 01740 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Bolton Global Capital Bolton MA 10/2014 Present
Bolton Securities Corporation Bolton MA 10/2014 Present
Previous Registrations
  • 2004-11-10 → 2014-10-09
    Cantella & Co., Inc.
    Portland, ME
    Portland, ME
  • 2002-11-25 → 2004-11-19
    First Allied Securities, Inc.
    Portland, ME
  • 2002-06-20 → 2002-12-05
    Morgan Stanley Dw Inc.
    Greenwich, CT
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-11-13
S63 Uniform Securities Agent State Law Examination 1995-07-17
  • S65 Uniform Investment Adviser Law Examination
    1997-11-13
  • S63 Uniform Securities Agent State Law Examination
    1995-07-17

View on SEC IAPD

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