DG
Daniel Geller
BOLTON SECURITIES
AVENTURA, FL
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CRD#: 4917337
DG
Professional summary
Daniel Geller is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Aventura, Florida and BOLTON GLOBAL CAPITAL located in Aventura, Florida.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Daniel has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3 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) Owns residential rental properties in Florida and New York. Not directly investment related. Sole Proprietor / Owner / Partner; 08/2015; During business hours: 0, After business hours: 0. 2) Investment Advisor Representative providing investment advisory services through Bolton Global Asset Management. Acting as Managing Director, DBA NYB Wealth Adviory. Investment related. Began role 07/01/2019. Conducted from Branch location. Role represents full-time job along with brokerage services. 3) Co-owner and Managing Director of NYB Wealth Advisory, LLC, entity created for operating securities and investment advisory services. Conducted from Branch location. Entity filed and established May, 2019. Not directly investment related, but facilitates investment related businesses. Hours spent per month on management duties vary, but are tied in with investment related businesses.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Geller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Geller'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
February 12, 2021 - Present
BOLTON SECURITIES CORPORATION
RIA
BD
CRD#: 129376
AVENTURA, FL
Current
April 26, 2019 - Present
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
AVENTURA, FL
Past
June 1, 2009 - May 24, 2019
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
May 16, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
November 3, 2006 - May 5, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
March 8, 2005 - May 17, 2006
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
RIO DE JANEIRO,
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
Connecticut(6/26/2024)
RR
Delaware(5/13/2020)
RR
Florida(9/6/2019)
IAR
Florida(2/12/2021)
RR
Illinois(9/5/2019)
RR
New Jersey(7/11/2019)
RR
New York(4/26/2019)
RR
Wyoming(9/11/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
