FB
Felix D. Bosque
BOLTON SECURITIES
Weston, FL
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CRD#: 4380167
FB
Professional summary
Felix Daniel Bosque is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Weston, Florida and BOLTON GLOBAL CAPITAL located in Weston, Florida.
Felix is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Felix has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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))JOINT-OWNER OF THREE RENTAL PROPERTIES LOCATED IN MIRAMAR, FLORIDA. NOT INVESTMENT RELATEDL; 1 HOUR SPENT PER MONTH OUTSIDE TRADING HOURS; 0 HOURS DURING TRADING. START DATES: 01/2013, 07/2020, 01/2022. 2)OWNER OF ALPHA FINANCIAL ADVISORS LLC, ENTITY CREATED MARCH 2021 IN FLORIDA FOR RECEIVING PAYMENTS DERIVED FROM BROKERAGE AND INVESTMENT ADVISORY BUSINESSES. 1 HOUR SPENT PER MONTH OUTSIDE TRADING HOURS; 0 HOURS DURING TRADING HOURS. 3)REGISTERED WITH BOLTON SECURITIES CORPORATION AS AN INVESTMENT ADVISOR REPRESENTATIVE, PROVIDING INVESTMENT ADVISORY SERVICES AT BRANCH LOCATION. THIS ACTIVITY IS FELIX'S FULL-TIME JOB AND IS CONDUCTED ALONG WITH HIS SECURITIES BROKERAGE BUSINESS THROUGH BOLTON GLOBAL CAPITAL. ADVISORY LICENSED SINCE 2010.
CRS (Client Relationship Summary) - RIA
Click below to view Felix Daniel Bosque's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Felix Daniel Bosque'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 14, 2021 - Present
BOLTON SECURITIES CORPORATION
Office #2: 55 Weston Road Suite 301, Weston, FL 33326RIA
BD
CRD#: 129376
Weston, FL
Current
July 7, 2021 - Present
BOLTON GLOBAL CAPITAL
Office #1: 55 Weston Road Suite 301, Weston, FL 33326BD
CRD#: 15650
Weston, FL
Past
June 29, 2010 - July 6, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WESTON, FL
Past
May 10, 2010 - July 6, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WESTON, FL
Past
November 5, 2002 - May 18, 2010
VALLEY FINANCIAL MANAGEMENT, INC.
BD
CRD#: 105387
AVENTURA, FL
Past
April 5, 2001 - October 8, 2002
SAFDIE INVESTMENT SERVICES CORP.
BD
CRD#: 104199
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".
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
Florida(7/7/2021)
IAR
Florida(7/14/2021)
RR
New York(7/7/2021)
RR
Texas(7/8/2021)
Exams
State Security Law Exam
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)
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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.
