EM
Edilberto Moreno
BOLTON SECURITIES
MIAMI, FL 33131
Some features on this profile are disabled
CRD#: 4031885
EM
Professional summary
Edilberto Moreno is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Miami, Florida and BOLTON GLOBAL CAPITAL located in Miami, Florida.
Edilberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Edilberto has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 9 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) Investment Advisor Representative of Bolton Global Asset Management, doing business either as 'Batista & Moreno Advisors' as 'Managing Partner', or 'PWA Family Office' as 'Managing Director'. IAR services represent full-time job along with brokerage services. Began upon association with current firm and is conducted from branch location. 2) Owner of Velazquez Moreno, LLC, s-corp set up to own and operate personal retirement plan. Rep is only participant. Investment related. Conducted either at Branch location or at personal residence. Less than 1-hour spent per month on activity, generally outside of trading hours. 3) Director of wife's pediatric cardiology practice, 'ABC Pediatrics SA'. Located in Panama City, Panama. Began activity in 2007. Currently does not spend time on activity. 4) Director and co-owner of 'The Pole at the 8th Hole'. Company purchased lot in Panama City and is constructing residences for owners to reside in. Began activity in 2013. Periodically supervises development of construction, but no more than 1 hour a month outside trading hours. 5) Co-owner and 'Managing Director' of 'PWA Family Office, LLC'. This entity was set up to operate securities and investment advisory services as a Bolton Branch, but under a different DBA. Time spent is balanced with time managing Batista & Moreno Advisors, but represents full-time job. Conducted from same Branch location. Rep is contact person. 6) PWA Family Office is engaged in the 'PWA Family Office Advisor Support Program'. In this program, the PWA Branch office provides administrative support to other Bolton Representatives and IARs in exchange for a portion of the compensation they earn. As co-owner of PWA Family Office, Edilberto will earn a portion of this compensation. This role is not directly investment related but includes investment services support. Edilberto will not spend more than a few hours per month on this activity. Conducted from Branch location.
CRS (Client Relationship Summary) - RIA
Click below to view Edilberto Moreno's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Edilberto Moreno'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
July 15, 2024 - Present
BOLTON SECURITIES CORPORATION
Office #1: 1441 Brickell Ave Suite 1700, Miami, FL 33131RIA
BD
CRD#: 129376
MIAMI, FL
Current
July 1, 2024 - Present
BOLTON GLOBAL CAPITAL
Office #1: 1441 Brickell Avenue Suite 1700, Miami, FL 33131Office #2: 1441 Brickell Avenue Suite 1700, Miami, FL 33131BD
CRD#: 15650
Miami, FL
Past
June 22, 2016 - May 3, 2024
BOLTON SECURITIES CORPORATION
RIA
CRD#: 129376
PANAMA CITY,
Past
May 4, 2016 - May 3, 2024
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
MIAMI, FL
Past
March 4, 2003 - May 3, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CORAL GABLES, FL
Past
February 17, 2000 - May 3, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CORAL GABLES, 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
RR
California(7/1/2024)
RR
Florida(7/1/2024)
IAR
Florida(7/15/2024)
RR
Massachusetts(7/1/2024)
RR
New York(7/1/2024)
RR
Texas(7/1/2024)
Exams
State Security Law Exam
General 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
Monitor Edilberto Moreno
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
