RM
Ricardo A. Morean
BOLTON SECURITIES
MIAMI, FL 33131
Some features on this profile are disabled
CRD#: 2295871
RM
Professional summary
Ricardo Alberto Morean is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Miami, Florida and BOLTON GLOBAL CAPITAL located in Miami, Florida.
Ricardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Ricardo has worked at 5 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 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 GEA Capital, or Brightstone Capital. Acting as Managing Director for GEA Capital, Managing Partner for Brightstone Capital. Providing asset management services. Investment related. Conducted from branch location. Activity began upon association with current firm. This represents registered representative's full-time job, hours per month will vary considerably. Brightstone Capital established July, 2017. 2) Referring offshore captive insurance companies to Integrity Insurance Underwriting and Management Services, SCC for risk management, insurance and/or reinsurance services. Not investment related. Company located at Altman Annex, Derricks, St. James BB24008, Barbados. Activity began 11/02/2017. Spends 5hours per month during trading hours and 5 hours per month outside of trading hours. Makes referrals from branch location. 3) Co-owner and landlord with wife of two residential rental properties, located in Coconut Grove, FL and Miami, FL. Not investment related and conducted from personal residence. Spends less than 1 hour per month on activity. Has been an ongoing activity since joining firm. 4) Licensed to sell fixed insurance products. Provides referrals to Premium Finance Group for sale of fixed insurance products. Spends approximately 5-hours during trading and 5-hours outside of trading hours per month. Conducted from Branch. Premium Finance Group located in Coral Gables. Activity began 12/18. 5) Owns and operates RAM Wealth Management, LLC, s-corp created to manage personal expenses. Not investment related. Not conducted at Branch location. Hours spent per month do not exceed 1-hour outside of trading hours. Rep is contact person. Established in Florida 01/2017. 6) Co-owner and Managing Director of Brightstone Capital, LLC, entity created for operating securities and investment advisory services referred by Rainmaker Group. Investment related and conducted from branch office location. Spends approximately 40 hours (one third of business hours) on management duties and providing investment services for this entity. Established 07/2017. 7) Ricardo is also Managing Director for Bolton Global Capital, providing business development services to the Firm. This role is located at 1441 Brickell Ave., Miami, FL. Ricardo spends 60-hours per month curing business hours on this activity. He is not involved directly with investments.
CRS (Client Relationship Summary) - RIA
Click below to view Ricardo Alberto Morean's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ricardo Alberto Morean'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
October 27, 2016 - Present
BOLTON SECURITIES CORPORATION
Office #1: 1441 Brickell Avenue Suite 1700, Miami, FL 33131RIA
BD
CRD#: 129376
MIAMI, FL
Current
October 25, 2016 - Present
BOLTON GLOBAL CAPITAL
Office #1: 1441 Brickell Avenue Suite 1750, Miami, FL 33131Office #2: 1441 Brickell Avenue Suite 1700, Miami, FL 33131BD
CRD#: 15650
Miami, FL
Past
January 24, 2012 - May 28, 2015
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
MIAMI, FL
Past
January 24, 2012 - May 28, 2015
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
MIAMI, FL
Past
December 21, 2009 - September 8, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MIAMI, FL
Past
December 17, 2008 - September 8, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MIAMI, FL
Past
November 20, 1992 - July 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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(3/6/2018)
RR
Florida(10/25/2016)
IAR
Florida(10/27/2016)
RR
New York(5/21/2018)
RR
South Dakota(3/6/2018)
RR
Texas(3/6/2018)
RR
Vermont(5/4/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/10/1995
General Securities Sales Supervisor Examination (Options Module & General Module)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#: 129376Miami, FL 33131TRUST BUT VERIFY
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