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Felipe A. Ballestas
BOLTON SECURITIES
Miami, FL 33131
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CRD#: 2461019
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Professional summary
Felipe Antonio Ballestas, who also goes by Felipe A Ballestas, is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Miami, Florida and BALLESTAS ADVISORS located in Miami, Florida.
Felipe is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Felipe has worked at 4 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Felipe A Ballestas
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 ADVISER REPRESENTATIVE WITH BOLTON GLOBAL ASSET MANAGEMENT, DOING BUSINESS AS BALLESTAS GROUP AND ACTING AS MANAGING DIRECTOR. INVESTMENT RELATED. CONDUCTED FROM BRANCH OFFICE LOCATION. HOURS SPENT ON ACTIVITY VARY BUT GENERALLY TAKES UP MAJORITY OF TRADING HOURS WHILE ALSO ACTING AS COMMISSION BASED REGISTERED REPRESENTATIVE. 2)OWNER AND PRESIDENT OF COLUMBUS MARINE VENTURES, LTD., ENTITY CREATED TO OWN AND OPERATE A PLEASURE MOTOR YACHT THAT IS RENTED OUT. LOCATED AT PALM CHAMBERS, 197 MAIN ST, ROAD TOWN, TORTOLA, BVI 786-973-0282. 0 HOURS SPENT PER MONTH ON ACTIVITY. ESTABLISHED 2012. NOT INVESTMENT RELATED. 3)PART-OWNER AND PARTNER OF WATER FRONT VENTURES LLC, A REAL ESTATE HOLDNG COMPANY THAT OWNS ONE PROPERTY LOCATED IN CAPE CORAL, FL. 0 HOURS SPENT ON ACTIVITY PER MONTH. BEGAN ACTIVITY 04/27/2005. NOT INVESTMENT RELATED. 4)CO-OWNER AMD MANAGER OF REAL ESTATE HOLDING COMPANY, BALLESTAS AND BEAK, LLC, A REAL ESTATE HOLDING COMPANY THAT OWNS ONE PROPERTY LOCATED IN MIAMI, FL. SPENDS APPROXIMATELY 5 HOURS PER MONTH ON ACTIVITY OUTSIDE OF BUSINESS HOURS. BEGAN ACTIVITY 10/10/2011. NOT INVESTMENT RELATED. 5)CO-OWNER AND VICE-PRESIDENT BALLESTAS ADVISORS LLC, ENTITY ESTABLISHED AS OUTSIDE REGISTERED INVESTMENT ADVISOR. INVESTMENT RELATED. CONDUCTED AT 848 Brickell Avenue, PH-5, Miami, FL . SPENDS APPROXIMATELY 5 HOURS DURING TRADING HOURS AND 5 HOURS OUTSIDE OF TRADING HOURS. BEGAN 02/10/2017. Rep is Contact person. 6)OWNER AND PRESIDENT OF BALLLESTAS FINANCE CORP, ENTITY CREATED TO CONSOLIDATE PAYMENTS FROM SECURITIES AND ADVISORY BUSINESSES, AS WELL AS INCOME FROM RENTING COTTAGE LOCATED ON PRIMARY RESIDENCE. CONDUCTED FROM PRIMARY RESIDENCE. SPENDS APPROXIMATELY 5 HRS OUTSIDE TRADING HOURS PER MONTH AND 0 HOURS DURING TRADING HOURS. BEGAN 8/8/2016. NOT INVESTMENT RELATED AS THIS ENTITY IS USED FOR PERSONAL INCOME ONLY. 7) CO-OWNER OF BG INSURNACE SVCS LLC, ENTITY CREATED 05/17/2023 IN FLORIDA TO SELL FIXED INSURANCE PRODUCTS THROUGH AGENT FOR CLIENT WEALTH PLANNING SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view Felipe Antonio Ballestas'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 23, 2016 - Present
BOLTON SECURITIES CORPORATION
Office #1: 1441 Brickell Avenue Suite 1700, Miami, FL 33131RIA
BD
CRD#: 129376
Miami, FL
Current
August 16, 2017 - Present
BALLESTAS ADVISORS
Office #1: 848 Brickell Avenue Ph-5, Miami, FL 33131RIA
CRD#: 287825
Miami, FL
Past
June 16, 2016 - May 16, 2023
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
Miami, FL
Past
March 15, 2004 - June 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MIAMI, FL
Past
April 27, 1994 - June 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MIAMI, FL
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.Highlighted states indicate IAR registrations
IAR
Florida(6/23/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
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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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