EM
Erick D. Mejia
BOLTON SECURITIES
Bethesda, MD
Some features on this profile are disabled
CRD#: 2323582
EM
Professional summary
Erick David Mejia, who also goes by Erick D Mejia, is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Bethesda, Maryland and BOLTON GLOBAL CAPITAL located in Bethesda, Maryland.
Erick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Erick has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Erick D Mejia
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) Erick is also registered as an Investment Advisor Representative with Bolton Securities Corporation, an SEC licensed Investment Advisor, acting as an 'Managing Partner under 'Mejia Capital Global Wealth Management'. This represents Erick's full-time job and is balanced with his role as a Registered Representative. Conducted from Branch location. 2) Owner and Manager of Mejia Capital, LLC, DBA Mejia Capital Global Wealth Management. Entitiy created to operate securities and investment advisory businesses, including marketing purposes. Not directly investment related. Conducted from Branch location. Spends no more than 2 hours per month during business hours. 0 hours spent outside business hours. 3) Erick is licensed to sell fixed insurance products since 1998. This activity is not directly investment related but may apply to his Bolton clients. Spends zero hours per month actively soliciting insurance products and does not advertise this activity. May or may not sell products from his Branch location.
CRS (Client Relationship Summary) - RIA
Click below to view Erick David Mejia's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Erick David Mejia'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 31, 2021 - Present
BOLTON SECURITIES CORPORATION
RIA
BD
CRD#: 129376
Bethesda, MD
Current
March 29, 2021 - Present
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
Bethesda, MD
Past
September 20, 2013 - March 30, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BETHESDA, MD
Past
September 12, 2013 - March 30, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BETHESDA, MD
Past
April 24, 1998 - September 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WASHINGTON, DC
Past
October 16, 1997 - September 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WASHINGTON, DC
Past
November 29, 1996 - May 28, 1997
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
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
District of Columbia(3/29/2021)
RR
Florida(4/1/2021)
RR
Maryland(3/29/2021)
IAR
Maryland(3/31/2021)
RR
Virginia(3/29/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
