JC
John G. Cataldo
BOLTON SECURITIES
Bolton, MA 01740
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CRD#: 5707721
JC
Professional summary
John Gennaro Cataldo is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Bolton, Massachusetts and BOLTON GLOBAL CAPITAL located in Bolton, Massachusetts.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. John has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) 08/16/2016: D'Ambrosio Brown LLP - Legal Services - Investment Related - 14 Proctor Ave. Revere, MA 02151 - Start 08/12/2016 - 25 Hr/Mo; 2 Hours During Securities Trading; 15% Time Spent - Licensed Attorney (2) 12/11/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary Public - Start Date: 10/29/2020 - 1 Hour Per Month/1 Hour During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view John Gennaro Cataldo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Gennaro Cataldo'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
January 2, 2024 - Present
BOLTON SECURITIES CORPORATION
Office #1: 579 Main Street, Bolton, MA 01740RIA
BD
CRD#: 129376
Bolton, MA
Current
December 7, 2023 - Present
BOLTON GLOBAL CAPITAL
Office #1: 579 Main Street, Bolton, MA 01740BD
CRD#: 15650
Bolton, MA
Past
August 22, 2016 - December 12, 2023
INTEGRATED WEALTH CONCEPTS LLC
RIA
CRD#: 284656
WALTHAM, MA
Past
August 16, 2016 - November 30, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
WALTHAM, MA
Past
November 20, 2009 - January 15, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
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
Massachusetts(12/21/2023)
IAR
Massachusetts(1/2/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
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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)
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.
Company Information
BOLTON SECURITIES CORPORATION
CRD#: 129376Bolton, MA 01740TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
