MB
Miguel A. Ballestas
BOLTON SECURITIES
Miami, FL 33131
Some features on this profile are disabled
CRD#: 1638753
MB
Professional summary
Miguel Andres Ballestas, CIMA®, who also goes by Andres Ballestas, is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Miami, Florida and BALLESTAS ADVISORS located in Miami, Florida.
Miguel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Miguel has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andres Ballestas
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)INVESTMENT ADVISER REPRESENTATIVE WITH BOLTON GLOBAL ASSET MANAGEMENT, DOING BUSINESS AS 'BALLESTAS GROUP' AND ACTING AS MANAGING PARTNER. INVESTMENT RELATED. CONDUCTED FROM BRANCH OFFICE LOCATION. HOURS SPENT ON ACTIVITY VARY AND ARE BALANCED WITH BRANCH MANAGEMENT DUTIES AS WELL AS ROLE WITH BALLESTAS ADVISORS, LLC. BEGAN UPON ASSOCIATION WITH CURRENT FIRM. 2)OWNER AND MANGER OF 'THE BALLESTAS GROUP, LLC', ENTITIY CREATED TO OPERATE SECURITIES AND INVESTMENT ADVISORY BUSINESS ASSOCIATED WITH BOLTON GLOBAL CAPITAL AND BOLTON SECURITIES CORPORATION, A/K/A BOLTON GLOBAL ASSET MANAGEMENT. INVESTMENT RELATED AND CONDUCTED FROM BRANCH LOCATION. ESTABLISHED IN 2014. MANAGEMENT DUTIES BALANCED WITH ROLE AS INVESTMENT ADVISOR AND WITH RIA. 3)CO-OWNER AND PRESIDENT OF BALLESTAS ADVISORS, LLC. ENTITIY ESTABLISHED AS OUTSIDE REGISTERED INVESTMENT ADVISOR (INVESTMENT RELATED). DBA NAME IS 'BALLESTAS ADVISORS, LLC'. SPENDS LESS THAN 5 HOURS PER MONTH ON ACTIVITY. ESTABLISHED 02/2017. LOCATED SEPARATELY FROM BOLTON BUSINESSES AT: 848 BRICKELL AVENUE, PH-5, MIAMI, FL 33131. 4) PART-OWNER AND PARTNER OF WATER FRONT VENTURES LLC, A REAL ESTATE HOLDNG COMPANY THAT OWNS ONE PROPERTY LOCATED IN CAPE CORAL, FL. 0 HOURS SPENT ON ACTIVITY PER MONTH. BEGAN ACTIVITY 04/27/2005. NOT INVESTMENT RELATED. 5) CONSULTANT SERVICES TO DIAMOND BIT ENTERPRISE LP, A LIMITED PARTNERSHIP THAT INVESTS IN OPERATING BUSINESSES. 3 HRS PER WEEK. NO COMPENSATION. NON FINANCIAL. 6) CO-OWNER OF BG INSURNACE SVCS LLC, ENTITY CREATED 05/17/2023 IN FLORIDA TO SELL FIXED INSURANCE PRODUCTS THROUGH AGENT FOR CLIENT WEALTH PLANNING SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view Miguel Andres Ballestas'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®
Experience
Current
December 9, 2016 - Present
BOLTON SECURITIES CORPORATION
Office #1: 1441 Brickell Avenue Suite 1700, Miami, FL 33131RIA
BD
CRD#: 129376
Miami, FL
Current
August 16, 2017 - Present
BALLESTAS ADVISORS
Office #1: 848 Brickell Avenue Ph-5, Miami, FL 33131RIA
CRD#: 287825
Miami, FL
Past
November 19, 2014 - October 31, 2016
BOLTON SECURITIES CORPORATION
BD
CRD#: 129376
Miami, FL
Past
October 1, 2014 - October 31, 2016
BOLTON SECURITIES CORPORATION
RIA
CRD#: 129376
Miami, FL
Past
June 11, 2014 - May 16, 2023
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
Miami, FL
Past
July 21, 2004 - July 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MIAMI, FL
Past
April 13, 1988 - July 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MIAMI, FL
Past
March 25, 1987 - October 13, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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.Highlighted states indicate IAR registrations
IAR
Florida(12/9/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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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