George B. Bolton

WESTEND CAPITAL MANAGEMENT.

Santa Monica, CA 90401

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CRD#: 1423421

Professional summary

George Brown Bolton is a registered financial advisor currently at WESTEND CAPITAL MANAGEMENT, LLC. located in Santa Monica, California.

George is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. George has worked at 4 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

George Brown Bolton is the Chief Executive Officer of George Bolton Horses, a company involved in the buying, selling, racing, and breeding of thoroughbred horses. As part of his involvement with George Bolton Horses, Mr. Bolton may receive additional compensation depending on the performance of the horses during a given racing season. Mr. Bolton's participation in this activity is limited in scope requiring only minimal involvement on a daily basis as an oversight function. Mr. Bolton spends approximately 5% of his time on this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Brown Bolton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 29, 2018 - Present

WESTEND CAPITAL MANAGEMENT, LLC.

Office #1: 520 Broadway Floor 2, Santa Monica, CA 90401

RIA

CRD#: 120545

Santa Monica, CA

Past

March 20, 2007 - December 31, 2016

WESTEND CAPITAL MANAGEMENT, LLC.

RIA

CRD#: 120545

LOS ANGELES, CA

Past

January 7, 2000 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

June 14, 1999 - March 22, 2004

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 1, 1997 - June 14, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

October 29, 1985 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

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".

WESTEND CAPITAL MANAGEMENT, LLC.

WESTEND CAPITAL LLC | WESTEND CAPITAL MANAGEMENT, LLC.

CRD#: 120545 / SEC#: 801-61128

RIA

Registered Investment Advisory firm - (5/10/2002 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/29/2018)

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

Series 63

Date: 10/31/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/19/1985

General Securities Representative Examination

Current Firm

WESTEND CAPITAL MANAGEMENT, LLC.

WESTEND CAPITAL LLC | WESTEND CAPITAL MANAGEMENT, LLC.

CRD#: 120545 / SEC#: 801-61128

RIA

Registered Investment Advisory firm - (5/10/2002 Approved)

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Contact information

Main Address

One Harbor Drive Suite 300, Sausalito, CA 94965

Mailing Address

Po Box 29528, San Francisco, CA 94129

Phone number

(415) 856-0426

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WESTEND CAPITAL MANAGEMENT, LLC BROCHURE PART 2A (4/8/2025)

Regulatory assets under management

Total Number of Accounts	392
AUM (Assets Under Management)	$ 348,134,070

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/28/2023	Cover Page	Report

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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George B. Bolton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Brown Bolton's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTEND CAPITAL MANAGEMENT, LLC.

DB ALEX. BROWN LLC

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

Primary Firm SEC Registration

WESTEND CAPITAL MANAGEMENT, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/31/1985

Series 7

Date: 10/19/1985

Current Firm

WESTEND CAPITAL MANAGEMENT, LLC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WESTEND CAPITAL MANAGEMENT, LLC.

TRUST BUT VERIFY

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