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579 Main Street, Bolton, MA 01740 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2009-11-16 |
Branch Locations
579 Main Street, Bolton, MA 01740 • United States
2226 Avenida De La Playa, La Jolla, CA 92307 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Vaughn Woods Financial Group | La Jolla | CA | 07/2005 | Present |
| Bolton Global Capital | Bolton | MA | 10/2007 | Present |
| Bolton Global Asset Management | Bolton | MA | 10/2007 | Present |
1) Investment Advisor Representative of Bolton Global Asset Management, doing business as Vaughn Woods Financial Group. Investment related. Conducted from branch location. Spending nominal amount of hours per month on this activity during trading hours and outside trading hours. Began upon association with firm in October, 2007. Approved to provide advisory services through Charles Schwab, an outside custodian, in September 2020. 2) Owner and president of Vaughn Woods Financial Group, Inc., an s-corp created to operate investment advisory and securities businesses through Bolton Global Capital and Bolton Global Asset Management. Investment related and conducted from branch office location. Spends approximately one to two hours per month on management duties for entity. Established May of 2017. 3) Licensed to sell fixed insurance products. Investment related and conducted from branch office location. Spends less than 1 hour per month on activity during trading hours and outside trading hours. Ongoing activity since joining firm. 4) Owner of 2226 Avenida de la Playa, La Jolla, CA 92037, a mixed-use property that rents to Vaughn Woods Financial Group, Inc., a retail store named 'Ocean Girl', and a rental apartment. His rental apartment does business as 'La Jolla Shores Rental' at lajollashoresrentals.com. This activity is operated from his branch location and is non-investment related. Ongoing activity since joining the firm.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-09-11 |
| S63 | Uniform Securities Agent State Law Examination | 1990-01-04 |
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