MN
Maria G. Northam
BOLTON SECURITIES
HOUSTON, TX 77066
Some features on this profile are disabled
CRD#: 2357657
MN
Professional summary
Maria Guadalupe Northam, who also goes by Guadalupe Northam, Lupe Northam, Maria Northam, Lupe Salgado, is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Houston, Texas and BOLTON GLOBAL CAPITAL located in Houston, Texas.
Maria is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Maria has worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Guadalupe Northam | Lupe Northam | Maria Northam | Lupe Salgado
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 under Bainbridge Financial Services. Acting as Senior Vice President - Financial Advisor. Providing investment advisory services. Investment related. Conducted from branch location. Activity began upon association with current firm in 04/2011. Advisory business is balanced with brokerage business, represents full-time job. 2) Owner and managing director of Alphana Group, LLC, entity that owns and manages a residential property that is rented out. Established June 2016. Not investment related and not conducted at Branch location. Lupe is contact person. 3) Owner of Tanil MKT LLC. This entitiy holds a brokerage account for Lupita's personal investments. Spends approximately 1-hour per month on activity and is related to personal investments. May be conducted from branch location. 4) Owner and Manager of GoPlan Financial Services, an s-corp set up for tax purposes. Not investment related and not conducted at Branch location. Established 07/2023. 1-hour spent per month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Maria Guadalupe Northam's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Maria Guadalupe Northam'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
June 6, 2011 - Present
BOLTON SECURITIES CORPORATION
Office #1: 12510 Cutten Road, Houston, TX 77066RIA
BD
CRD#: 129376
HOUSTON, TX
Current
April 13, 2011 - Present
BOLTON GLOBAL CAPITAL
Office #1: 12510 Cutten Road, Houston, TX 77066BD
CRD#: 15650
Houston, TX
Past
March 19, 2009 - April 15, 2011
ABSHIER WEBB DONNELLY & BAKER, INC.
RIA
CRD#: 104051
HOUSTON, TX
Past
March 19, 2009 - April 15, 2011
ABSHIER WEBB DONNELLY & BAKER, INC.
BD
CRD#: 104051
HOUSTON, TX
Past
November 23, 1998 - March 17, 2009
STANFORD GROUP COMPANY
RIA
CRD#: 39285
HOUSTON, TX
Past
November 20, 1998 - March 17, 2009
STANFORD GROUP COMPANY
BD
CRD#: 39285
HOUSTON, TX
Past
August 15, 1996 - November 10, 1998
UNITED AMERICAN INTERNATIONAL, INC.
BD
CRD#: 30922
HOUSTON, TX
Past
October 5, 1994 - August 20, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
Colorado(10/30/2012)
RR
Connecticut(12/22/2015)
RR
Delaware(9/30/2019)
RR
Florida(5/10/2011)
RR
Georgia(5/27/2011)
RR
Illinois(3/28/2017)
RR
Indiana(5/21/2015)
RR
Kentucky(6/25/2012)
RR
Missouri(2/14/2025)
RR
New Mexico(9/27/2019)
RR
New York(1/15/2021)
RR
South Carolina(3/31/2022)
RR
Texas(6/6/2011)
IAR
Texas(6/6/2011)
RR
West Virginia(8/9/2023)
RR
Wyoming(12/22/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
