CL
Carlos M. Lecour
BOLTON SECURITIES
MIAMI, FL 33131
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CRD#: 5720964
CL
Professional summary
Carlos Manuel Lecour is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Miami, Florida and BOLTON GLOBAL CAPITAL located in Miami, Florida.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Carlos has worked at 4 firms and has passed the Series 66, SIE and Series 7 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) Investment Advisor Representative with Bolton Global Asset Management, doing business as 'Aurora Partners', offering fee-based asset management and financial planning services. Investment related. Majority of time spent providing these services during trading hours and outside trading hours, approximately 160 hours per month. Conducted from branch location. Began September of 2017. Approved for providing advisory services on additional custody platform, JP Morgan. 2) Co-owner of Aurora Partners, LLC, entity created to operate securities and investment advisory businesses. Investment related and conducted from branch location. Less than 1 hour spent on activity during and outside business hours per month. Began upon association with current firm. 3) Providing referrals to three Real Estate Brokerage Firms: Deluxe Realty (located in Florida), David F. Fisher Land Co. (located in Mississippi), and Miami Properties International (located in Florida). Not investment related. . Spends 1 hour per month and conducted from branch location. Began September of 2017. 4) Manager of Germania Plantation, LLC. Entity established for purchase of raw land in Mississippi and renting out land. Not investment related. Sometimes conducted at Branch. Less than 1-hour spent per month on activity. Rep is contact. 5) Owner and Manager of Rearden Wealth Management, LLC. Entity created to receive payments associated with securities and advisory businesses, and pay Branch expenses. Not investment related. Conducted from Branch location. Hours spent per month are less than 1, potentially during trading hours. Not a public facing entity. Registered Rep is contact person. 6) Owner and Manager of Lux North Carolina, LLC. LLC established March, 2022 in North Carolina to purchase land for personal purposes only. Conducted from personal residence. Spends no more than 1-hour per month outside business hours. Not investment related. 7) Manuel is a Board Member for TAL Building Centers, overseeing the company's financial information and matters. Not investment related. Began June 1st, 2023. Spends 6 hours per month outside business hours. Address of company is 203 SE Park Plaza Drive, Suite 250, Vancouver, WA 98684. https://talbuildingcenters.com/
CRS (Client Relationship Summary) - RIA
Click below to view Carlos Manuel Lecour's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carlos Manuel Lecour'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
May 23, 2017 - Present
BOLTON SECURITIES CORPORATION
Office #1: 1441 Brickell Avenue Suite 1700, Miami, FL 33131RIA
BD
CRD#: 129376
MIAMI, FL
Current
April 10, 2017 - Present
BOLTON GLOBAL CAPITAL
Office #1: 1441 Brickell Avenue Suite 1700, Miami, FL 33131Office #2: 1441 Brickell Avenue Suite 1700, Miami, FL 33131BD
CRD#: 15650
Miami, FL
Past
September 7, 2012 - April 7, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
MIAMI, FL
Past
February 19, 2010 - September 13, 2012
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
MIAMI, FL
Past
October 30, 2009 - September 13, 2012
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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
Florida(4/10/2017)
IAR
Florida(5/23/2017)
Exams
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)
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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#: 129376Miami, FL 33131TRUST BUT VERIFY
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