Ethan M. Assouline
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.
Ethan M Assouline, who also goes by Ethan Moche Assouline, was a registered financial professional .
Ethan is a previously registered financial professional and started their career in finance in 2012. Ethan had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2017 - October 23, 2017
BOLTON SECURITIES CORPORATION
May 11, 2017 - October 23, 2017
BOLTON GLOBAL CAPITAL
June 29, 2012 - February 23, 2017
HSBC SECURITIES (USA) INC.
June 29, 2012 - February 23, 2017
HSBC SECURITIES (USA) INC.
Primary Firm SEC Registration
BOLTON SECURITIES CORPORATION
CRD#: 129376 / SEC#: 801-66962, 8-68187
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 SECURITIES CORPORATION
CRD#: 129376 / SEC#: 801-66962, 8-68187
Contact information
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.
