Sophie A. Baker

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CRD#: 1023837

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Sophie Ables Baker, who also goes by Sophie Blacklock Ables, was a registered financial professional .

Sophie is a previously registered financial professional and started their career in finance in 1981. Sophie had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sophie Blacklock Ables

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 5, 2009 - January 31, 2020

BOLTON SECURITIES CORPORATION

RIA

CRD#: 129376

WOOLWICH, ME

Past

May 4, 2009 - January 15, 2020

BOLTON GLOBAL CAPITAL

CRD#: 15650

WOOLWICH, ME

Past

August 28, 2006 - May 4, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LEWISTON, ME

Past

August 28, 2006 - May 4, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LEWISTON, ME

Past

August 31, 2005 - August 29, 2006

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

AUBURN, ME

Past

January 17, 1994 - August 29, 2006

A. G. EDWARDS & SONS, INC.

CRD#: 4

AUBURN, ME

Past

November 30, 1988 - January 21, 1994

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

October 22, 1981 - April 19, 1988

PERSHING LLC

CRD#: 7560

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BOLTON SECURITIES CORPORATION

BOLTON GLOBAL ASSET MANAGEMENT | NEWERA WEALTH ADVISORS | DELTA GLOBAL ASSET MANAGEMENT | BOLTON SECURITIES CORPORATION | BOLTON SECURITIES CORP

CRD#: 129376 / SEC#: 801-66962, 8-68187

RIA

Registered Investment Advisory firm - SEC (8/9/2006 Approved)

Georgia

Registered Investment Advisory firm - SEC (8/14/2006 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (8/17/2006 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/1/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/21/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/1981

General Securities Representative Examination

Current Firm

BOLTON SECURITIES CORPORATION

BOLTON GLOBAL ASSET MANAGEMENT | NEWERA WEALTH ADVISORS | DELTA GLOBAL ASSET MANAGEMENT | BOLTON SECURITIES CORPORATION | BOLTON SECURITIES CORP

CRD#: 129376 / SEC#: 801-66962, 8-68187

RIA

Registered Investment Advisory firm - SEC (8/9/2006 Approved)

Georgia

Registered Investment Advisory firm - SEC (8/14/2006 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (8/17/2006 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

579 Main Street, Bolton, MA 01740

Mailing Address

579 Main Street, Bolton, MA 01740

Phone number

(978) 779-6947

Established

Delaware since 07/30/1999

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

154

SEC notice filing (38 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BGAM FORM ADV PART 2A AND APPENDIX MARCH 2024 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
BOLTON FINANCIAL GROUP, INC.	SHAREHOLDER
PRESKENIS, STEVEN CHRISTOPHER	PRESIDENT	4410822
CATALDO, JOHN GENNARO	CHIEF LEGAL OFFICER	5707721
MAHLE, DAPHNE JANE	CHIEF COMPLIANCE OFFICER	4367277
TARPEY, STEVEN R	CFO AND FINOP	6640625

Regulatory assets under management

Total Number of Accounts	6,977
AUM (Assets Under Management)	$ 7,004,872,405

Disclosures

Regulatory Event	1
Civil Event	1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Sophie A. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BOLTON GLOBAL CAPITAL

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

TUCKER ANTHONY INCORPORATED

PERSHING LLC

Primary Firm SEC Registration

BOLTON SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 8/1/2005

Series 63

Date: 4/21/1982

SIE

Date: 10/1/2018

Series 7

Date: 10/17/1981

Current Firm

BOLTON SECURITIES CORPORATION

Contact information

SEC notice filing (38 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

BOLTON SECURITIES CORPORATION

TRUST BUT VERIFY

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