Roberto F. Vidal

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CRD#: 2927747

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Roberto Fernandes Vidal, who also goes by Roberto Ferdandes VIdal, was a registered financial professional .

Roberto is a previously registered financial professional and started their career in finance in 1997. Roberto had worked at 4 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Aliases

Roberto Ferdandes Vidal

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 10, 2014 - May 26, 2016

BOLTON SECURITIES CORPORATION

CRD#: 129376

SAO PAULO,

Past

November 1, 2013 - May 26, 2016

BOLTON GLOBAL CAPITAL

CRD#: 15650

SAO PAULO,

Past

May 8, 2008 - August 21, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MONTEVIDEO,

Past

July 1, 2003 - August 21, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MONTEVIDEO,

Past

September 10, 1997 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/28/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/15/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/1/1997

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/23/1997

General Securities Representative Examination

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	CHIEF EXECUTIVE OFFICER	4410822
BEALS, MATTHEW GEORGE	PRESIDENT	5157251
CATALDO, JOHN GENNARO	CHIEF LEGAL OFFICER AND CHIEF ADMIN OFF.	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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Advisor Monitoring

Firm Stability Insights

Roberto F. Vidal

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BOLTON GLOBAL CAPITAL

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

BOLTON SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 4/28/2008

Series 63

Date: 8/15/1998

Series 3

Date: 11/1/1997

Series 7

Date: 8/23/1997

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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