Miguel A. Espinoza
Professional summary
Miguel A Espinoza, who also goes by Miguel Espinoza, Mike Espinoza, is a registered financial professional currently at BOLTON GLOBAL CAPITAL located in Austin, Texas.
Miguel is registered as a RR (Registered Representative) and started their career in finance in 2008. Miguel has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Miguel A Espinoza's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 5, 2010 - Present
BOLTON GLOBAL CAPITAL
Office #1: 101 Westlake Drive Suite 129, Austin, TX 78746December 16, 2008 - January 14, 2010
HILLTOP SECURITIES 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
(1/5/2010)
Exams
FINRA
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
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