RQ
Ricardo Quiros
BOLTON SECURITIES
MIAMI, FL 33131
Some features on this profile are disabled
CRD#: 4917867
RQ
Professional summary
Ricardo Quiros, who also goes by Ricardo Antonio Quiros, Ricardo Antonio Quiros Giron, 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 2005. Ricardo has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ricardo Antonio Quiros | Ricardo Antonio Quiros Giron
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) REGISTERED WITH BOLTON SECURITIES CORPORATION AS AN INVESTMENT ADVISOR RESPRESENTATIVE. DOING BUSINESS AS CAOBA CAPITAL WEALTH MANAGEMENT AND ACTING AS 'INVESTMENT PORTFOLIO MANAGER'. INVESTMENT RELATED AND CONDUCTED FROM BRANCH LOCATION. IA BUSINESS REPRESENTS APPROXIMATELY 15%-20% OF BUSINESS. 2) OWNER AND MANAGING DIRECTOR OF CAOBA CAPITAL WEALTH MANAGEMENT, LLC, ENTITY CREATED TO FACILITATE SECURITIES AND INVESTMENT ADVISORY BUSINESS. CONDUCTED FROM BRANCH LOCATION. BRANCH MANAGEMENT DUTIES BALANCED WITH SECURITIES AND ADVISORY SERVICES. 3) LICENSED TO SELL FIXED INSURANCE PRODUCTS. INVESTMENT RELATED TO THE EXTENT IN HOW AN INSURANCE PRODUCT FITS INTO A CLIENT'S OVERALL FINANCIAL PICTURE. SOLD UNDER PERSONAL NAME AND CONDUCTED FROM BRANCH LOCATION. NOMINAL AMOUNT OF TIME SPENT PER YEAR ON ACTIVITY, SELLING 5-7 INSURANCE PLANS A YEAR. 4)RICARDO IS THE PLAN ADMINISTRATOR FOR CAOBA CAPITAL WEALTH MANAGEMENT'S 401K PLAN WHICH ONLY INCLUDES BRANCH STAFF AND HIMSELF. NO INVESTMENT DECISIONS ARE MADE BY RICARDO ON BEHALF OF OTHER PARTICIPANTS. ADMINISTRATIVE DUTIES ONLY AND RICARDO DOES NOT SPEND MORE THAN 1-HOUR PER MONTH. 5) CO-OWNER WITH SPOUSE OF RESIDENTIAL RENTAL PROPERTY. NOT INVESTMENT RELATED AND NOT CONDUCTED AT BRANCH LOCATION.
CRS (Client Relationship Summary) - RIA
Click below to view Ricardo Quiros's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ricardo Quiros'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 1, 2019 - Present
BOLTON SECURITIES CORPORATION
Office #1: 1441 Brickell Avenue Suite 1700, Miami, FL 33131RIA
BD
CRD#: 129376
MIAMI, FL
Current
January 3, 2019 - Present
BOLTON GLOBAL CAPITAL
Office #1: 1441 Brickell Avenue Suite 1700, Miami, FL 33131BD
CRD#: 15650
Miami, FL
Past
May 30, 2018 - December 31, 2018
BOLTON SECURITIES CORPORATION
RIA
CRD#: 129376
Weston, FL
Past
April 23, 2018 - December 31, 2018
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
Weston, FL
Past
June 12, 2012 - April 24, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WESTON, FL
Past
May 31, 2012 - April 24, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WESTON, FL
Past
June 1, 2009 - June 21, 2012
MORGAN STANLEY
RIA
CRD#: 149777
PLANTATION, FL
Past
June 1, 2009 - June 21, 2012
MORGAN STANLEY
BD
CRD#: 149777
PLANTATION, FL
Past
April 13, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
PLANTATION, FL
Past
March 18, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
PLANTATION, 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
Delaware(2/12/2019)
RR
Florida(1/3/2019)
IAR
Florida(2/1/2019)
RR
Georgia(10/31/2019)
RR
New York(1/3/2019)
RR
Texas(3/21/2019)
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.
Company Information
BOLTON SECURITIES CORPORATION
CRD#: 129376Miami, FL 33131TRUST BUT VERIFY
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