Ivan R. Palacino

BOLTON SECURITIES

MIAMI, FL 33131

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CRD#: 2681611

Professional summary

Ivan Roberto Palacino is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Miami, Florida and BOLTON GLOBAL CAPITAL located in Miami, Florida.

Ivan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Ivan has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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)Owner of Pala Capital, LLC. Created November 2023 in Florida. Created to operate Bolton securities and investment advisory businesses. Not directly investment related. Conducted from Branch location. 2) Co-owner with spouse of two residential rental properties located in New York City. Not investment related. 2-hours spent outside trading hours. Conducted from personal residence. 3) Licensed with Bolton Securities Corporation as an investment advisor representative. Investment related and conducted from Branch location. Full-time job along with Registered Rep duties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ivan Roberto Palacino's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Ivan Roberto Palacino's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 24, 2023 - Present

BOLTON SECURITIES CORPORATION

Office #1: 1441 Brickell Ave Suite 1700, Miami, FL 33131

RIA

CRD#: 129376

MIAMI, FL

Current

July 19, 2023 - Present

BOLTON GLOBAL CAPITAL

Office #1: 1441 Brickell Ave Suite 1700, Miami, FL 33131

CRD#: 15650

Miami, FL

Past

February 4, 2014 - July 26, 2023

MORGAN STANLEY

RIA

CRD#: 149777

Miami, FL

Past

January 6, 2014 - July 26, 2023

MORGAN STANLEY

CRD#: 149777

Miami, FL

Past

February 24, 2009 - January 28, 2014

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

MIAMI, FL

Past

September 22, 2008 - January 28, 2014

BARCLAYS CAPITAL INC.

CRD#: 19714

MIAMI, FL

Past

February 14, 2007 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

MIAMI, FL

Past

March 14, 2006 - February 20, 2007

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368

MIAMI, FL

Past

August 27, 2002 - March 9, 2006

INSIGNEO SECURITIES, LLC

CRD#: 29249

MIAMI, FL

Past

May 2, 2000 - April 3, 2002

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

April 28, 1999 - April 20, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 13, 1996 - April 16, 1999

EFG CAPITAL INTERNATIONAL LLC

CRD#: 28349

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".

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)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Florida
(7/19/2023)

IAR

Florida
(7/24/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/22/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/15/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/10/2007

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/12/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BGAM FORM ADV PART 2A AND APPENDIX MARCH 2024 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
BOLTON FINANCIAL GROUP, INC.	SHAREHOLDER
PRESKENIS, STEVEN CHRISTOPHER	PRESIDENT	4410822
CATALDO, JOHN GENNARO	CHIEF LEGAL OFFICER	5707721
MAHLE, DAPHNE JANE	CHIEF COMPLIANCE OFFICER	4367277
TARPEY, STEVEN R	CFO AND FINOP	6640625

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.

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Ivan R. Palacino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ivan Roberto Palacino's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Ivan Roberto Palacino's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOLTON GLOBAL CAPITAL

MORGAN STANLEY

MORGAN STANLEY

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

MACQUARIE CAPITAL (USA) INC.

INSIGNEO SECURITIES, LLC

PERSHING LLC

CITIGROUP GLOBAL MARKETS INC.

EFG CAPITAL INTERNATIONAL LLC

Primary Firm SEC Registration

BOLTON SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 1/22/2009

Series 63

Date: 4/15/1998

SIE

Date: 10/1/2018

Series 3

Date: 3/10/2007

Series 7

Date: 6/12/1996

FINRA

Current Firm

BOLTON SECURITIES CORPORATION

Contact information

SEC notice filing (38 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

BOLTON SECURITIES CORPORATION

TRUST BUT VERIFY

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