FS
Fabio Santos
BOLTON SECURITIES
EASTON, CT
Some features on this profile are disabled
CRD#: 5591383
FS
Professional summary
Fabio 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Fabio Santos's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Fabio Santos'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
April 26, 2021 - Present
BOLTON SECURITIES CORPORATION
RIA
BD
CRD#: 129376
EASTON, CT
Current
April 29, 2019 - Present
BOLTON GLOBAL CAPITAL
BD
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
BD
CRD#: 149777
NEW YORK, NY
Past
June 13, 2013 - August 24, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
December 16, 2008 - March 14, 2012
CITIGROUP GLOBAL MARKETS INC.
BD
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".
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
IAR
Connecticut(4/26/2021)
RR
Connecticut(7/30/2024)
RR
Delaware(7/30/2024)
RR
District of Columbia(7/30/2024)
RR
Florida(7/30/2024)
RR
Illinois(7/30/2024)
RR
Massachusetts(3/30/2021)
RR
New Jersey(7/30/2024)
RR
New York(8/5/2019)
RR
Wyoming(7/30/2024)
Exams
State Security Law Exam
State Security Law 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)
PREMIUM
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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)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOLTON FINANCIAL GROUP, INC. | SHAREHOLDER | |
| PRESKENIS, STEVEN CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 4410822 |
| BEALS, MATTHEW GEORGE | PRESIDENT | 5157251 |
| CATALDO, JOHN GENNARO | CHIEF LEGAL OFFICER AND CHIEF ADMIN OFF. | 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.
