Agnes Y. Aponte
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Agnes Y Aponte, who also goes by Agnes Yadira Aponte, Agnes Y Aponte, was a registered financial professional .
Agnes is a previously registered financial professional and started their career in finance in 2004. Agnes had worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2015 - January 7, 2016
BOLTON GLOBAL CAPITAL
July 2, 2014 - July 28, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2014 - July 28, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 26, 2013 - July 21, 2014
MORGAN STANLEY
February 25, 2013 - July 21, 2014
MORGAN STANLEY
August 28, 2012 - October 5, 2012
UBS FINANCIAL SERVICES INC.
January 18, 2012 - October 5, 2012
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
January 18, 2012 - October 5, 2012
UBS FINANCIAL SERVICES INC.
January 2, 2008 - December 26, 2008
SIGNATOR INVESTORS, INC.
December 8, 2005 - October 4, 2007
WALNUT STREET SECURITIES, INC.
December 2, 2004 - September 9, 2005
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BOLTON GLOBAL CAPITAL
CRD#: 15650 / SEC#: , 8-33222
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRENIER, RAYMOND GERARD | CHAIRMAN OF THE BOARD | 1404159 |
| BEALS, MATTHEW GEORGE | PRESIDENT AND CHIEF OPERATING OFFICER | 5157251 |
| CATALDO, JOHN GENNARO | CHIEF ADMINISTRATIVE AND LEGAL OFFICER | 5707721 |
| MAHLE, DAPHNE JANE | CHIEF COMPLIANCE OFFICER | 4367277 |
| PRESKENIS, STEVEN CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 4410822 |
| TARPEY, STEVEN R | CHIEF FINANCIAL OFFICER | 6640625 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
| Bond | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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