Adriana M. Perez

BOLTON SECURITIES

WESTON, FL 33326

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CRD#: 5781158

Professional summary

Adriana M Perez, who also goes by Adriana M Gonzalez, Adriana Gonzalez, Adrianna M Perez, is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Weston, Florida and BOLTON GLOBAL CAPITAL located in Weston, Florida.

Adriana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Adriana has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adriana M Gonzalez | Adriana Gonzalez | Adrianna M Perez

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.

Adriana is dual registered with Bolton Global Asset Management, an SEC registered IA Firm, as an Investment Advisor.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adriana M Perez's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Adriana M Perez'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

December 8, 2022 - Present

BOLTON SECURITIES CORPORATION

Office #1: 55 Weston Road Suite 301, Weston, FL 33326

RIA

CRD#: 129376

WESTON, FL

Current

August 23, 2021 - Present

BOLTON GLOBAL CAPITAL

Office #1: 55 Weston Road Suite 301, Weston, FL 33326

CRD#: 15650

Weston, FL

Past

April 26, 2019 - August 25, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WESTON, FL

Past

April 26, 2019 - August 25, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WESTON, FL

Past

September 10, 2014 - April 22, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

FORT LAUDERDALE, FL

Past

September 8, 2014 - April 22, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

FORT LAUDERDALE, FL

Past

December 4, 2013 - September 8, 2014

BOLTON SECURITIES CORPORATION

RIA

CRD#: 129376

MIAMI, FL

Past

September 18, 2013 - August 12, 2014

BOLTON GLOBAL CAPITAL

CRD#: 15650

MIAMI, FL

Past

September 18, 2013 - September 8, 2014

BOLTON SECURITIES CORPORATION

CRD#: 129376

MIAMI, FL

Past

September 28, 2011 - October 2, 2013

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

MIAMI, FL

Past

April 11, 2011 - October 2, 2013

RBC CAPITAL MARKETS, LLC

CRD#: 31194

MIAMI, FL

Past

November 18, 2010 - April 4, 2011

HAPOALIM SECURITIES USA, INC.

CRD#: 266

AVENTURA, 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".

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

Florida
(8/23/2021)

IAR

Florida
(12/8/2022)

New York
(8/25/2021)

Texas
(8/25/2021)

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: 8/22/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/16/2010

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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Advisor Monitoring

Firm Stability Insights

Adriana M. Perez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adriana M Perez's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Adriana M Perez's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOLTON GLOBAL CAPITAL

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BOLTON SECURITIES CORPORATION

BOLTON GLOBAL CAPITAL

BOLTON SECURITIES CORPORATION

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

HAPOALIM SECURITIES USA, INC.

Primary Firm SEC Registration

BOLTON SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2011

SIE

Date: 10/1/2018

Series 7

Date: 11/16/2010

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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