HK
Herbert A. Klukas
BOLTON SECURITIES
CORAL GABLES, FL 33134
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CRD#: 2219858
HK
Professional summary
Herbert Anthony Klukas, who also goes by Herb Klukas, is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Coral Gables, Florida and BOLTON GLOBAL CAPITAL located in Coral Gables, Florida.
Herbert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Herbert has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Herb Klukas
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, PROVIDING ASSET MANAGEMENT SERVICES. ALSO APPROVED FOR MANAGING ACCOUNTS HELD AT CHARLES SCHWAB , START DATE 12/07/2009. HOURS SPENT ARE APPROXIMATELY 120, BALANCED WITH BRANCH MANAGEMENT DUTIES AND COMMISSION-BASED SERVICES. CONDUCTED FROM BRANCH LOCATION. 2) OWNER AND PRESIDENT OF WALLA CORP, S-CORP CREATED TO RECEIVE COMPENSATION ASSOCIATED WITH SECURITIES AND INVESTMENT ADVISORY SERVICES. NOT INVESTMENT RELATED. CONDUCTED FROM BRANCH LOCATION. CREATED IN 2010 AND SPENDS APPROXIAMTELY 2 HOURS PER MONTH ON ACTIVITY.
CRS (Client Relationship Summary) - RIA
Click below to view Herbert Anthony Klukas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Herbert Anthony Klukas'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
March 22, 2010 - Present
BOLTON SECURITIES CORPORATION
Office #1: 1 Alhambra Plaza Ph Floor - Suite 1435, Coral Gables, FL 33134RIA
BD
CRD#: 129376
CORAL GABLES, FL
Current
December 17, 2009 - Present
BOLTON GLOBAL CAPITAL
Office #1: 1 Alhambra Plaza Ph Floor - Suite 1435, Coral Gables, FL 33134BD
CRD#: 15650
Coral Gables, FL
Past
June 18, 2003 - June 25, 2003
INSIGNEO WEALTH ADVISORS, LLC
RIA
CRD#: 112706
MIAMI, FL
Past
August 2, 2001 - January 5, 2010
INSIGNEO WEALTH ADVISORS, LLC
RIA
CRD#: 112706
MIAMI, FL
Past
June 22, 2001 - December 11, 2009
INSIGNEO SECURITIES, LLC
BD
CRD#: 29249
MIAMI, FL
Past
May 30, 1997 - June 25, 2001
CENTENNIAL CAPITAL MANAGEMENT, INC.
BD
CRD#: 38988
ATLANTA, GA
Past
March 27, 1992 - June 23, 1997
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 27, 1992 - June 23, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(4/3/2018)
RR
California(1/5/2010)
RR
Florida(1/5/2010)
IAR
Florida(3/22/2010)
RR
Idaho(7/19/2018)
RR
Massachusetts(1/5/2010)
RR
North Carolina(2/25/2010)
RR
Pennsylvania(10/17/2018)
RR
South Carolina(1/5/2010)
RR
Virginia(1/5/2010)
RR
Washington(3/8/2013)
RR
Wisconsin(1/20/2015)
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
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#: 129376Coral Gables, FL 33134TRUST BUT VERIFY
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