MD
Michael V. Dow
BOLTON SECURITIES
FALMOUTH, ME 04105
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CRD#: 2161466
MD
Professional summary
Michael Vernon Dow is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Falmouth, Maine and BOLTON GLOBAL CAPITAL located in Falmouth, Maine.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 3 firms and has passed the Series 65, Series 63, SIE 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.
1) Investment Advisor Representative of Bolton Global Asset Management, doing business as Dow Capital Management, LLC. Investment related and conducted from branch location. This activity represents the representative's full-time job, balanced with activities as registered representative and management duties of branch. Began upon association with current firm.
2) Co-owner of Dow Capital Management, LLC, entity created to operate securities and investment advisory services, including payment of branch expenses. Approximately 1 hour spent per month on activity. Began 12/6/2011.
3) Co-owner of 134 R.O.R.E., LLC, real estate holding company created to own and operate building from which branch operates. Not investment related. Conducted at branch location. Spends approximately 1 hour per month during business hours on activity. Began 12/6/2011.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Vernon Dow's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Vernon Dow'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 6, 2007 - Present
BOLTON SECURITIES CORPORATION
Office #1: 134 Us Route One, Falmouth, ME 04105RIA
BD
CRD#: 129376
FALMOUTH, ME
Current
October 28, 2005 - Present
BOLTON GLOBAL CAPITAL
Office #1: 134 Us Route One, Falmouth, ME 04105BD
CRD#: 15650
Falmouth, ME
Past
September 11, 1991 - November 10, 2005
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
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
Arizona(5/14/2019)
RR
California(10/29/2014)
RR
Connecticut(2/28/2006)
RR
Florida(10/28/2005)
RR
Illinois(3/29/2017)
RR
Kentucky(6/1/2018)
RR
Maine(10/28/2005)
IAR
Maine(12/6/2007)
RR
Maryland(9/11/2020)
RR
Massachusetts(10/28/2005)
RR
Minnesota(9/21/2017)
RR
Nevada(10/28/2005)
RR
New Hampshire(10/28/2005)
RR
New Jersey(10/28/2005)
RR
New York(10/28/2005)
RR
Rhode Island(10/28/2005)
RR
Vermont(6/8/2011)
RR
Wisconsin(1/7/2020)
Exams
State Security Law Exam
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BOLTON SECURITIES CORPORATION
CRD#: 129376Falmouth, ME 04105TRUST BUT VERIFY
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