GP
Graciela M. Perez
BOLTON SECURITIES
Miami, FL 33131
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CRD#: 2617817
GP
Professional summary
Graciela Maria Perez, CIMA®, who also goes by Graciela Maria Oquendo, is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Miami, Florida and BOLTON GLOBAL CAPITAL located in Miami, Florida.
Graciela is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Graciela has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Graciela Maria Oquendo
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) Co-owner and managing partner of Perez Wealth Management, LLC, entity set up to act as an s-corp and operate securities and investment advisory businesses. Investment related. Conducted from branch location. Began upon association with current firm. Management duties are balanced with being Investment Advisor. 2) Investment Advisor Representative with Bolton Global Asset Management, doing business as Perez Wealth Management, LLC and acting as Senior Partner. Investment related. Conducted from branch location. Spends approximately 120 hours per month during trading hours. Began upon association with current firm.
CRS (Client Relationship Summary) - RIA
Click below to view Graciela Maria Perez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Graciela Maria Perez'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®
Experience
Current
December 14, 2015 - Present
BOLTON SECURITIES CORPORATION
Office #1: 1441 Brickell Avenue Suite 1700, Miami, FL 33131RIA
BD
CRD#: 129376
Miami, FL
Current
November 10, 2015 - Present
BOLTON GLOBAL CAPITAL
Office #1: 1441 Brickell Avenue Suite 1700, Miami, FL 33131BD
CRD#: 15650
Miami, FL
Past
November 17, 2015 - December 16, 2015
BOLTON SECURITIES CORPORATION
BD
CRD#: 129376
BOLTON, MA
Past
August 17, 2004 - November 10, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MIAMI, FL
Past
August 12, 1996 - November 10, 2015
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.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
IAR
Florida(12/14/2015)
RR
Florida(12/22/2015)
RR
New Mexico(10/24/2017)
RR
Texas(7/13/2020)
RR
Utah(12/14/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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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