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MF

Maria A. Fernandez

BOLTON SECURITIES
MIAMI, FL 33131
Some features on this profile are disabled
CRD#: 5256335
MF

Professional summary

Maria A Fernandez, who also goes by Maria A De Los Angeles Fernandez, Maria De Los Angeles Fernandez, Maria De Los Angeles Fernandez Julian, Maria Rogue Fernandez, Maria A Roque, Maria A. Roque, Maria A Roque Fernandez, is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Miami, Florida and BOLTON GLOBAL CAPITAL located in Miami, Florida.

Maria is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Maria has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Maria A De Los Angeles Fernandez | Maria De Los Angeles Fernandez | Maria De Los Angeles Fernandez Julian | Maria Rogue Fernandez | Maria A Roque | Maria A. Roque | Maria A Roque Fernandez

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) Co-owner, Vice-president, Secretary, and Treasurer of Amity Wealth Management, Inc., entity created to operate securities and investment advisory businesses. Investment related. Conducted from branch location. Entity re-structured 10/01/2017. Time spent on activity balanced with roles as IAR and RR. 2) Investment Advisor Representative of Bolton Global Asset Management, doing business as Amity Wealth Management. Spends approximately 190 hours per month on activity, 149 hours during business hours. Conducted from branch office location and investment related. Approved for managing account held at UBS. 3) Maria is sole-owner of her own transitional coaching company, Beginning Anew Coaching, LLC where she advises women on transitioning into retirement, focusing on strategies for personal success and satisfaction. Not investment related. Conducted from personal residence. Spends approximately 60 hours outside of trading hours and 0 during trading hours. Maria is contact person.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maria A Fernandez's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Maria A Fernandez's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 11, 2016 - Present

BOLTON SECURITIES CORPORATION

Office #1: 1441 Brickell Avenue Suite 1700, Miami, FL 33131
RIA
BD
CRD#: 129376
MIAMI, FL
Current

November 2, 2015 - Present

BOLTON GLOBAL CAPITAL

Office #1: 1441 Brickell Avenue Suite 1700, Miami, FL 33131
BD
CRD#: 15650
Miami, FL
Past

February 25, 2010 - September 23, 2015

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
MIAMI, FL
Past

January 21, 2010 - September 23, 2015

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
MIAMI, FL
Past

January 21, 2009 - January 12, 2010

BARCLAYS CAPITAL INC.

RIA
CRD#: 19714
MIAMI, FL
Past

September 22, 2008 - January 12, 2010

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
MIAMI, FL
Past

September 10, 2007 - October 15, 2008

LEHMAN BROTHERS INC.

RIA
CRD#: 7506
MIAMI, FL
Past

September 7, 2007 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
MIAMI, FL
Past

April 13, 2007 - October 1, 2007

ATLAS ONE CAPITAL MANAGEMENT, LLC

RIA
CRD#: 127448
MIAMI, FL
Past

March 7, 2007 - October 1, 2007

ATLAS ONE FINANCIAL GROUP, LLC

BD
CRD#: 124057
MIAMI, 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
California
(8/11/2016)
RR
Delaware
(4/25/2017)
RR
Florida
(1/11/2016)
IAR
Florida
(1/11/2016)
RR
Minnesota
(5/9/2016)
RR
New York
(9/8/2017)
RR
Texas
(2/22/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/9/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/5/2007
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

BGAM FORM ADV PART 2A AND APPENDIX MARCH 2024 (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
BOLTON FINANCIAL GROUP, INC.SHAREHOLDER
PRESKENIS, STEVEN CHRISTOPHERPRESIDENT4410822
CATALDO, JOHN GENNAROCHIEF LEGAL OFFICER5707721
MAHLE, DAPHNE JANECHIEF COMPLIANCE OFFICER4367277
TARPEY, STEVEN RCFO AND FINOP6640625

Regulatory assets under management

Total Number of Accounts6,977
AUM (Assets Under Management)$ 7,004,872,405

Disclosures

Regulatory Event1
Civil Event1

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 33131

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