RC
Randall L. Caruso
BOLTON SECURITIES
MIAMI, FL 33131
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CRD#: 2479432
RC
Professional summary
Randall Lew Caruso, who also goes by Randall Caruso, Randy L Caruso, is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Miami, Florida and BOLTON GLOBAL CAPITAL located in West Palm Beach, Florida.
Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Randall has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Randall Caruso | Randy L Caruso
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 'Capitalia Advisors' and acting as 'Managing Partner & CEO'. Investment related. Conducted from branch location. Spends varying hours per month on this activity during trading hours and outside trading hours. Began upon association with firm. Duties balanced with branch management duties and brokerage services. 2) Owner and founder of Capitalia Advisors, LLC. Investment related to extent that LLC was created to operate securities and investment advisory businesses. Conducted from branch location. Created October 2019. Time spent on managing LLC is minimal and balanced with brokerage and investment advisory services. 3) Owner and Manager of Caruso Capital Holdings, LLC. LLC is set up to act as Trustee for Representative's own self-directed IRA Rollover and make personal private investments. Personally investment related. May be conducted from Branch location. Spends no more than 1-hour per month. LLC filed in state of Florida 05/29/2020.
CRS (Client Relationship Summary) - RIA
Click below to view Randall Lew Caruso's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Randall Lew Caruso'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
December 3, 2019 - Present
BOLTON SECURITIES CORPORATION
Office #1: 1441 Brickell Avenue Suite 1700, Miami, FL 33131RIA
BD
CRD#: 129376
MIAMI, FL
Current
November 1, 2019 - Present
BOLTON GLOBAL CAPITAL
Office #1: 205 Datura St Suite 200 #2, West Palm Beach, FL 33401BD
CRD#: 15650
WEST PALM BEACH, FL
Past
April 22, 2019 - November 5, 2019
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
October 27, 2010 - February 17, 2011
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
September 10, 2010 - November 5, 2019
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
July 22, 2004 - October 4, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
April 27, 1994 - October 4, 2010
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
Arizona(9/29/2022)
RR
California(11/1/2019)
RR
Connecticut(1/10/2022)
RR
Delaware(1/29/2025)
RR
Florida(12/2/2019)
IAR
Florida(12/3/2019)
RR
Georgia(12/3/2019)
RR
Michigan(10/5/2021)
RR
Nevada(12/20/2019)
RR
New Jersey(5/13/2020)
RR
New York(11/1/2019)
RR
Texas(12/3/2019)
Exams
State Security Law Exam
State Security Law 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.
Company Information
BOLTON SECURITIES CORPORATION
CRD#: 129376Miami, FL 33131TRUST BUT VERIFY
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