AR
Adelfa Rosario Brady
BOLTON SECURITIES
NEW YORK, NY 10017
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CRD#: 1630540
AR
Professional summary
Adelfa Rosario Brady, who also goes by Adelfa Altagracia Rosario, Adelfa Rosario Brady, is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in New York, New York and BOLTON GLOBAL CAPITAL located in New York, New York.
Adelfa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Adelfa has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Adelfa Altagracia Rosario | Adelfa Rosario Brady
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) Advisor is also an IAR with Bolton Global Asset Management, DBA AiM Fidelis and acting as Managing Director. Investment related. Hour vary and are balanced with branch duties and commission-based business. Conducted from branch location. Approved for providing investment advisory services on Charles Schwab Platform. 2) Owner of AiM Fidelis Wealth Solutions, LLC, entity created to operate securities and investment advisory services with current Broker Dealer and Investment Advisor. Conducted from branch location. Not investment related. Created upon association with current firm. Minimal time spent managing this entity. 3) Plan sponsor and trustee of AiM Fidelis Wealth Solutions, LLC 401K plan. Personally investment related. Conducted from Branch location. Began 01/01/2019 and spends up to 2 hours per month, 1 during business hours. Rep is contact person. Began 01/01/20219.
CRS (Client Relationship Summary) - RIA
Click below to view Adelfa Rosario Brady's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Adelfa Rosario Brady'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
December 8, 2017 - Present
BOLTON SECURITIES CORPORATION
Office #1: 489 5th Avenue 21st Floor, New York, NY 10017RIA
BD
CRD#: 129376
NEW YORK, NY
Current
December 6, 2017 - Present
BOLTON GLOBAL CAPITAL
Office #1: 122 East 42nd Street Suite 4105, New York, NY 10168BD
CRD#: 15650
New York, NY
Past
October 4, 2017 - November 27, 2017
SAFRA SECURITIES LLC
BD
CRD#: 47873
NEW YORK, NY
Past
July 14, 2015 - October 3, 2017
SAFRA SECURITIES LLC
BD
CRD#: 47873
NEW YORK, NY
Past
February 26, 1987 - April 24, 1989
CITICORP FINANCIAL SERVICES,INC.
BD
CRD#: 14675
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
Delaware(1/31/2020)
RR
Florida(12/6/2017)
RR
Maryland(5/4/2020)
RR
New York(12/6/2017)
IAR
New York(9/15/2022)
RR
Texas(12/6/2017)
IAR
Virginia(12/8/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
