Fabio J. Santos

BOLTON SECURITIES

EASTON, CT

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CRD#: 5591383

Professional summary

Fabio Jose Joaquim Santos, who also goes by Fabio Jose Joaquim Dos Santos, Fabio Jose Joaquim Santos, is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Easton, Connecticut and BOLTON GLOBAL CAPITAL located in Easton, Connecticut.

Fabio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Fabio has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Fabio Jose Joaquim Dos Santos | Fabio Jose Joaquim Santos

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.

OWNER AND MANAGER OF SCIOSOLIS, LLC, ENTITY CREATED FOR ACCOUNTING PURPOSES TO RECEIVE COMPENSATION DERIVED FROM SECURITIES AND INVESTMENT ADVISORY BUSINESSES. NOT DIRECTLY RELATED TO INVESTMENTS. CONDUCTED FROM BRANCH LOCATION. TIME SPENT ON ACTIVITY IS MINIMAL (NO MORE THAN A FEW HOURS PER MONTH, BALANCED WITH MANAGING PERSONAL FINANCES). BEGAN AUGUST 2019.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Fabio Jose Joaquim Santos's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Fabio Jose Joaquim Santos'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

April 26, 2021 - Present

BOLTON SECURITIES CORPORATION

RIA

CRD#: 129376

EASTON, CT

Current

April 29, 2019 - Present

BOLTON GLOBAL CAPITAL

CRD#: 15650

EASTON, CT

Past

March 30, 2016 - April 30, 2019

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

August 17, 2015 - April 30, 2019

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

June 13, 2013 - August 24, 2015

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

December 16, 2008 - March 14, 2012

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

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)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

Connecticut
(4/26/2021)

Connecticut
(7/30/2024)

Delaware
(7/30/2024)

District of Columbia
(7/30/2024)

Florida
(7/30/2024)

Illinois
(7/30/2024)

Massachusetts
(3/30/2021)

New Jersey
(7/30/2024)

New York
(8/5/2019)

Wyoming
(7/30/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/29/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/16/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/15/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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)

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

Name	Position	CRD#
BOLTON FINANCIAL GROUP, INC.	SHAREHOLDER
PRESKENIS, STEVEN CHRISTOPHER	PRESIDENT	4410822
CATALDO, JOHN GENNARO	CHIEF LEGAL OFFICER	5707721
MAHLE, DAPHNE JANE	CHIEF COMPLIANCE OFFICER	4367277
TARPEY, STEVEN R	CFO AND FINOP	6640625

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.

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Firm Stability Insights

Fabio J. Santos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Fabio Jose Joaquim Santos's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Fabio Jose Joaquim Santos's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOLTON GLOBAL CAPITAL

MORGAN STANLEY

MORGAN STANLEY

J.P. MORGAN SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

BOLTON SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 3/29/2016

Series 63

Date: 1/16/2009

SIE

Date: 10/1/2018

Series 7

Date: 12/15/2008

FINRA

Current Firm

BOLTON SECURITIES CORPORATION

Contact information

SEC notice filing (38 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

BOLTON SECURITIES CORPORATION

TRUST BUT VERIFY

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