RL
Richard E. Louis
BOLTON SECURITIES
SARASOTA, FL 34237
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CRD#: 4269338
RL
Professional summary
Richard Ericson Louis is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Sarasota, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Richard 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)Co-owner and managing partner of Island Lifestyle Importers, LLC, an entity established in 2009 that manufactures and distributes branded products. Potentially spends up to 80 hours per month spent on activity during trading hours, and up to 60 hours per month spent outside of trading hours. Not investment related. Conducted at 426 Interstate Court, Sarasota, FL 34240. 2)Owner and President of Capital Investment Management, Inc., an entity that is currently used for tax and accounting purposes only. Not investment related. Conducted from branch location. Established 2006.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Ericson Louis'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
January 30, 2006 - Present
BOLTON SECURITIES CORPORATION
Office #1: 2033 Main St. Suite 204, Sarasota, FL 34237RIA
BD
CRD#: 129376
SARASOTA, FL
Past
January 27, 2006 - January 5, 2018
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
LAKEWOOD RANCH, FL
Past
November 17, 2000 - February 23, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SARASOTA, FL
Past
November 16, 2000 - February 23, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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.Highlighted states indicate IAR registrations
IAR
Florida(8/15/2006)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
