RA
Rafael A. Alvarez
BOLTON SECURITIES
MIAMI, FL 33131
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CRD#: 1620520
RA
Professional summary
Rafael Alberto Alvarez is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Miami, Florida and BOLTON GLOBAL CAPITAL located in Miami, Florida.
Rafael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Rafael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 8 and Series 24 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.
1) Licensed to sell fixed insurance products. Conducted from branch office and is investment related. Conducted under personal name. Began 10/2015. Is not spending more than 1 hour per month on activity. 2) Referral agreement with The Orange Group Real Estate Corp., providing referrals on a case by case basis. Business operates from 178 Giralda Avenue, Coral Gables FL 33134. Began activity May, 2016 and spends less than one hour per month outside of business hours. Not investment related. Arrangement includes Florida real estate license as sales associate. 3) Investment Advisor Representative with Bolton Global Asset Management, doing business as Miami Private Capital Partners. Spends approximately 4-8 hours per month of trading hours on activity. 4) Owner and President of Miami Private Capital Partners, Inc., entity established 2018 in Florida to operate securities and investment advisory businesses by acting as pass-through entity. Public facing. Not investment related. Conducted from Branch location. Rep is contact person. 5) Co-owner with spouse of rental property located in Cadiz, Spain. Not investment. Not conducted from Branch location. 1-hour spent per month, potentially during trading hours. 6) Co-owner with spouse of INVERSIONES LAMASCA 78, established 10/24/2024. Entity is used to own personal properties for estate planning purposes. Not investment related. Not conducted from Branch location. 1-hour spent per month, potentially during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Rafael Alberto Alvarez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rafael Alberto Alvarez's 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®
NoneExperience
Current
May 29, 2015 - Present
BOLTON SECURITIES CORPORATION
Office #1: 1441 Brickell Avenue Suite 1700, Miami, FL 33131RIA
BD
CRD#: 129376
MIAMI, FL
Current
April 15, 2015 - Present
BOLTON GLOBAL CAPITAL
Office #1: 1441 Brickell Avenue Suite 1700, Miami, FL 33131BD
CRD#: 15650
Miami, FL
Past
June 1, 2009 - April 21, 2015
MORGAN STANLEY
RIA
CRD#: 149777
MIAMI, FL
Past
June 1, 2009 - April 21, 2015
MORGAN STANLEY
BD
CRD#: 149777
MIAMI, FL
Past
September 25, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
MIAMI, FL
Past
September 21, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
MIAMI, FL
Past
January 15, 1988 - September 25, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MIAMI, FL
Past
January 4, 1988 - September 25, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MIAMI, FL
Past
March 30, 1987 - November 6, 1987
UNITRUST SECURITIES CORP.
BD
CRD#: 18614
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".
BS
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)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(4/15/2015)
IAR
Florida(5/29/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/18/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BS
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)BD
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)
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.
Company Information
BOLTON SECURITIES CORPORATION
CRD#: 129376Miami, FL 33131TRUST BUT VERIFY
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