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Current Employers
Bolton Securities Corporation

579 Main Street, Bolton, MA 01740 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2008-02-29
  • TX RA
    APPROVED
    Since 2008-02-29

Branch Locations

50 Morrison Rd., Brownsville, TX 78520 • United States

579 Main Street, Bolton, MA 01740 • United States

Disclosures

1 disclosure category 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Bolton Global Capital Bolton MD 02/2008 Present
Bolton Global Asset Management Bolton MA 02/2008 Present
  • 02/2008 → Present
    Bolton Global Capital
    Bolton, MD
  • 02/2008 → Present
    Bolton Global Asset Management
    Bolton, MA
Previous Registrations
Other Businesses

1.Co-owner of GMFE group, LLC, doing business under two registered names, 'GEF Financial Group' and/or 'GEF Insurance'. LLC created to operate securities, investment advisory, and insurance businesses. Investment related and conducted from branch location. Management duties take up majority of time during trading hours. 0 hours spent outside of trading hours. 2.Fixed insurance sales conducted under 'GEF Insurance', including employee benefits, health, fixed annuities, and fixed life insurance. Investment related and conducted from branch location. Spends less than 1 hour per month during trading hours on selling products, and 0 hours outside of trading hours per month. 3.IAR of Bolton Global Asset management, doing business as GEF Financial Group. Acting as Managing Director. Investment related and conducted from branch location. Balances this role with branch management duties and selling fixed insurance products. 4. Co-owner of FNB Insurance Group, LLC, entity created 2011 in the state of TX to operate insurance business. For accounting purposes and not investment related. Conducted from Branch location. Does not spend more than 1-hour per month.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-03-18
S63 Uniform Securities Agent State Law Examination 1987-06-05
  • S65 Uniform Investment Adviser Law Examination
    1996-03-18
  • S63 Uniform Securities Agent State Law Examination
    1987-06-05

View on SEC IAPD

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