SB
Sofia Bucay
BOLTON SECURITIES
SAN DIEGO, CA
Some features on this profile are disabled
CRD#: 4508509
SB
Professional summary
Sofia Bucay, who also goes by Sofia Bucay Bissu, Sofia Bucay De Daniel, is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in San Diego, California and BOLTON GLOBAL CAPITAL located in San Diego, California.
Sofia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Sofia has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sofia Bucay Bissu | Sofia Bucay De Daniel
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. SOFIA IS LICENSED AS AN INVESEMENT ADVISOR REPRESENTATIVE WITH BOLTON GLOBAL ASSET MANAGEMENT. INVESTMENT RELATED AND CONDUCTED FROM BRANCH LOCATION. THIS REPRESENTS SOFIA'S FULL-TIME JOB AND IS BALANCED WITH MANAGEMENT DUTIES AND SECURITIES SERVICES. SOFIA IS ALSO APPROVED TO PROVIDE INVESTMENT ADVISORY SERVICES THROUGH INTERACTIVE BROKERS. 2. SOFIA OWNS AND OPERATES SB CAPITAL, AN ENTITY THAT OPERATES HER BOLTON INVESTMENT SERVICES AND HER PERSONAL BUSINESS, "HABLANDO DE LANA". THIS IS NOT INVESTMENT. OPERATED FROM BRANCH LOCATION AND SOFIA IS THE CONTACT PERSON. HOURS SPENT VARY, BUT NO MORE THAN 8 HOURS PER MONTH, 2 HOURS DURING BUSINESS HOURS. ENTITY WAS FORMED IN CALIFORNIA IN 10/05/2018. 3. BEGINNING 05/06/2024, SOFIA STARTED "HABLANDO DE LANA": https://hablandodelana.com/. SOFIA PROVIDE COMMENTARY ON FINANCIAL LITERACY. NOT INVESTMENT RELATED. WILL NOT RECEIVE COMPENSATION AND DEVOTES 2 HOURS PER MONTH TO THIS ACTIVITY.
CRS (Client Relationship Summary) - RIA
Click below to view Sofia Bucay's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sofia Bucay'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
March 24, 2025 - Present
BOLTON SECURITIES CORPORATION
RIA
BD
CRD#: 129376
SAN DIEGO, CA
Current
March 18, 2025 - Present
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
SAN DIEGO, CA
Past
October 4, 2018 - March 25, 2025
PORTFOLIO RESOURCES GROUP, INC.
BD
CRD#: 31155
CORAL GABLES, FL
Past
October 2, 2018 - March 25, 2025
LIFEINVEST WEALTH MANAGEMENT, LTD
RIA
CRD#: 146966
San Diego, CA
Past
April 13, 2010 - October 1, 2018
IPG INVESTMENT ADVISORS, LLC
RIA
CRD#: 152990
SAN DIEGO, CA
Past
March 30, 2010 - June 2, 2010
INVESTMENT PLACEMENT GROUP
RIA
CRD#: 14458
SAN DIEGO, CA
Past
April 2, 2002 - October 1, 2018
INVESTMENT PLACEMENT GROUP
BD
CRD#: 14458
SAN DIEGO, CA
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(3/18/2025)
IAR
California(3/24/2025)
Exams
State Security Law Exam
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.
