EM
Euclides R. Moreno
BOLTON SECURITIES
Miami, FL 33131
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CRD#: 4166571
EM
Professional summary
Euclides Rafael Moreno, CIMA® is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Miami, Florida and BOLTON GLOBAL CAPITAL located in Miami, Florida.
Euclides is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Euclides has worked at 3 firms and has passed the Series 66, SIE 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) Investment Advisor Representative with Bolton Global Asset Management, doing business as either 'Moreno Wealth Management Group, LLC' as 'Managing Partner' OR 'PWA Family Office, LLC' as 'Managing Director'. Investment related and conducted from branch location. Time spent on advisory business is split with brokerage business, but represents full-time job. Began upon association with firm in April, 2017. Approved February in February to provide services through outside custodian, The Bank of New York Mellon Corporation. 2) Owner and operator of Moreno Wealth Management Group, LLC, entity set up to facilitate securities and investment advisory business. Investment related and conducted from branch office location. Spends nominal amount of time per month outside and during business hours managing the LLC. Began upon association with firm in April, 2017. 3) Owner of two residential rental properties located in Miami, FL and Coral Gables, FL. Not investment related. Does not spend more than 1 hour per month on activity. Began renting in 2010. 4) Licensed to sell fixed insurance products. Provides referrals to insurance agents at carriers for the sale of fixed insurance products. Spends approximately 1-hour during trading per month. Conducted from Branch location. Activity 09/2019. 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. Time spent is balanced with time managing 'Moreno Wealth Management Group, LLC', 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, Euclides will earn a portion of this compensation. This role is not directly investment related but includes investment services support. Euclides will not spend more than a few hours per month of this activity.
CRS (Client Relationship Summary) - RIA
Click below to view Euclides Rafael Moreno's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Euclides Rafael 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®
Experience
Current
July 27, 2017 - Present
BOLTON SECURITIES CORPORATION
Office #1: 1441 Brickell Avenue Suite 1700, Miami, FL 33131RIA
BD
CRD#: 129376
Miami, FL
Current
May 2, 2017 - 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
March 15, 2004 - May 18, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MIAMI, FL
Past
May 31, 2000 - May 18, 2017
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
RR
California(5/8/2017)
RR
Colorado(5/8/2017)
RR
Florida(5/2/2017)
IAR
Florida(7/27/2017)
RR
Indiana(5/8/2017)
RR
New York(2/25/2019)
RR
Texas(9/27/2019)
RR
Washington(5/8/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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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