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AA

Ana M. Ahlawat

BOLTON GLOBAL CAPITAL
New York, NY 10168
Some features on this profile are disabled
CRD#: 2693655
AA

Professional summary

Ana Maria Ahlawat is a registered financial professional currently at BOLTON GLOBAL CAPITAL located in New York, New York.

Ana is registered as a RR (Registered Representative) and started their career in finance in 1996. Ana has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ana Maria Ahlawat'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

April 17, 2018 - Present

BOLTON GLOBAL CAPITAL

Office #1: 122 East 42nd Street Suite 4105, New York, NY 10168
BD
CRD#: 15650
New York, NY
Past

April 2, 2015 - January 11, 2018

SAFRA SECURITIES LLC

BD
CRD#: 47873
NEW YORK, NY
Past

October 1, 2012 - March 19, 2015

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
NEW YORK, NY
Past

October 1, 2012 - March 19, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

May 13, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
NEW YORK, NY
Past

May 13, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
NEW YORK, NY
Past

February 3, 2004 - June 17, 2008

UBS INTERNATIONAL INC.

RIA
CRD#: 107726
NEW YORK, NY
Past

September 17, 2001 - June 17, 2008

UBS INTERNATIONAL INC.

BD
CRD#: 107726
NEW YORK, NY
Past

September 11, 2000 - September 17, 2001

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

March 12, 1996 - July 21, 2000

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New York
(4/17/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/24/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/13/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/11/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BG
BOLTON GLOBAL CAPITAL
BOLTON GLOBAL CAPITAL | DELTA EQUITY SERVICES CORPORATION | CLARY FINANCIAL PLANNING SERVICES INC. | CLARY FINANCIAL PLANNING SERVICES

CRD#: 15650 / SEC#: , 8-33222

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) 779-5361
Established
Massachusetts since 11/29/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GRENIER, RAYMOND GERARDCHAIRMAN OF THE BOARD1404159
BEALS, MATTHEW GEORGEPRESIDENT AND CHIEF OPERATING OFFICER5157251
CATALDO, JOHN GENNAROCHIEF ADMINISTRATIVE AND LEGAL OFFICER5707721
MAHLE, DAPHNE JANECHIEF COMPLIANCE OFFICER4367277
PRESKENIS, STEVEN CHRISTOPHERCHIEF EXECUTIVE OFFICER4410822
TARPEY, STEVEN RCHIEF FINANCIAL OFFICER6640625

Disclosures

Regulatory Event11
Arbitration3
Bond4

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 GLOBAL CAPITAL

CRD#: 15650New York, NY 10168

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