TE
Tomas A. Esteve
BOLTON SECURITIES
BROWNSVILLE, TX 78520
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CRD#: 2283516
TE
Professional summary
Tomas Alberto Esteve, who also goes by Tomas Esteve, is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Brownsville, Texas and BOLTON GLOBAL CAPITAL located in Brownsville, Texas.
Tomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Tomas has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tomas Esteve
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)Co-owner and manager of GMFE group, LLC, DBA 'GEF Financial Group' and/or 'GEF Insurance'. LLC created to operate securities, investment advisory, and insurance businesses. Investment related and conducted from branch location. Management duties take up majority of time during trading hours. 0 hours spent outside of trading hours. 2)Fixed insurance sales conducted under 'GEF Insurance', including employee benefits, health, fixed annuities, fixed life, dental, and long-term care insurance. Investment related and conducted from branch location. Spends less than 1 hour per month during trading hours on selling products, and 0 hours outside of trading hours per month. 3)IAR of Bolton Global Asset management, doing business as GEF Financial Group. Investment related and conducted from branch location. Spends less than 1 hour per month during trading hours on activity and 0 hours outside of trading hours per month. 4) Co-owner of Old Absinthe House LLC, real estate holding company that is owned with immediate family only and owns 1 property in New Orleans. Not investment related and not conducted from Branch location. Spends no more than 10 hours on activity during any given month, outside of business hours. 5) Co-owner and President of Talvam Holdings, Inc., General Partner of Talvam Holdings LP. Both entities owned with immediate family only. Not investment related. Not conducted from branch location. Time spent per month does not exceed 10 hours outside of business hours. 6) Co-owner of Talvam Holdings LP with immediate family only. LP owns and operates 2 residential real estate properties in Brownsville, TX and 1 residential property on South Padre Island. 7) Co-owner and Member of Southern Coast Capital, LLC. Entity registered in state of Texas in February 2019 to facilitate an approved private securities transaction. LLC agreement executed May 2019. Activity conducted in Brownsville, TX. Formed to conduct passive investment by financing legal case for acquisition of fuel tank company. Investment related. 8) Co-owner of FNB Insurance Group, LLC, entity created 2011 in the state of TX to operate insurance business. For accounting purposes and not investment related. Conducted from Branch location. Does not spend more than 1-hour per month.
CRS (Client Relationship Summary) - RIA
Click below to view Tomas Alberto Esteve's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tomas Alberto Esteve'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
February 29, 2008 - Present
BOLTON SECURITIES CORPORATION
Office #1: 50 Morrison Rd., Brownsville, TX 78520RIA
BD
CRD#: 129376
BROWNSVILLE, TX
Current
February 29, 2008 - Present
BOLTON GLOBAL CAPITAL
Office #1: 50 West Morrison Rd. Suite B, Brownsville, TX 78520BD
CRD#: 15650
Brownsville, TX
Past
December 1, 1992 - March 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BROWNSVILLE, TX
Past
November 13, 1992 - March 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BROWNSVILLE, TX
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
Arkansas(11/9/2018)
RR
California(4/20/2009)
RR
Colorado(4/12/2022)
RR
Georgia(1/24/2011)
RR
Massachusetts(2/1/2013)
RR
New Jersey(2/29/2008)
RR
New York(4/4/2013)
RR
Ohio(7/13/2010)
RR
Texas(2/29/2008)
IAR
Texas(2/29/2008)
RR
Utah(2/1/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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#: 129376Brownsville, TX 78520TRUST BUT VERIFY
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