RS
Ricardo A. Sucre
BOLTON SECURITIES
MIAMI, FL 33131
Some features on this profile are disabled
CRD#: 4577043
RS
Professional summary
Ricardo Andres Sucre is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Miami, Florida and BOLTON GLOBAL CAPITAL located in Miami, Florida.
Ricardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Ricardo has worked at 4 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) Ricardo is also an IAR of Bolton Securities Corporation, an SEC licensed Investment Advisor. Investment related activity that take place from Branch location. This is a full-time role balanced with Ricardo's role as a Registered Representative with Bolton. 2) Owner and Manager of Sucre Financial, LLC. This entitiy was established May 2024 for the purpose of operating Bolton securities and investment advisory businesses. Not investment related. Conducted from Branch location. Minimal management hours during trading hours. 3) Manager of family owned holding company that owns a boat and two cars. Entity established 04/2010 in Florida. Not investment related. Conducted from Branch location. Spends less than an hour per month on activity.
CRS (Client Relationship Summary) - RIA
Click below to view Ricardo Andres Sucre's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ricardo Andres Sucre'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
April 22, 2024 - Present
BOLTON SECURITIES CORPORATION
Office #1: 1441 Brickell Ave Suite 1700, Miami, FL 33131RIA
BD
CRD#: 129376
MIAMI, FL
Current
April 9, 2024 - Present
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
MIAMI, FL
Past
September 19, 2014 - April 16, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Miami, FL
Past
September 19, 2014 - April 16, 2024
MORGAN STANLEY
BD
CRD#: 149777
Miami, FL
Past
December 1, 2005 - September 29, 2014
AMERANT INVESTMENTS, INC.
RIA
CRD#: 117284
CORAL GABLES, FL
Past
January 2, 2003 - September 29, 2014
AMERANT INVESTMENTS, INC.
BD
CRD#: 117284
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
Florida(4/9/2024)
IAR
Florida(4/22/2024)
RR
Texas(5/7/2024)
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
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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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