EO
Enrique Ortega
BOLTON SECURITIES
MIAMI, FL 33131
Some features on this profile are disabled
CRD#: 5859283
EO
Professional summary
Enrique Ortega is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Miami, Florida and BOLTON GLOBAL CAPITAL located in Miami, Florida.
Enrique is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Enrique has worked at 5 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)Owner of Sklyline Legacy, LLC, entity created 04/2023 in the state of Florida. Used for operating Bolton securities and investment advisory services. Not investment related. Conducted from Branch location. 2) Co-owner of The Silver S Investments LLC; personally investment-related; Nature: Holds rental property in Silver Springs FL and co-owns 280 Plant, LLC; Started: 7/8/2022; Title: Partner; Minimal oversight required as the properties have a property manager; 1 hour devoted each month outside of securities trading hours; 3) Co-owner of 280 Plant LLC through The Silver S Investments, LLC; personally Investment-related; Nature:real estate holding company that owns rental property in Winter Garden, Florida; Started: 2/6/2023; Title: Member; Duties: Member of the LLC. No active duties. ; 1 hour is devoted each month outside of securities trading hours. 4) Co-owner of Ortega Family Legacy LLC; personally investment-related; Miami, FL; Affiliation started on 04/16/2021; Title: Owner. Owns residential rental properties with multiple units located in Daytona Beach and Holly Hill. 1 hour devoted each month outside securities trading hours. 5) Rental Property - Weston, FL; Investment-related; Affiliation started 11/12/2014; Title: Owner; Duties: Collect rent and maintain the property in good order; No time is devoted to the rental each month during or outside of security trading hours. 6) Rental Property - Miami, FL; Investment-related; Affiliation started 01/08/2018; Title/Duties: Owner/Landlord; No time is devoted to the rental each month during or outside of securities trading hours. 7) Rental Property (20 NE 50th St) - Miami, FL; Investment-related; Started: 4/15/2023; Title: Owner; Duties: Collect payments - Will have an active property manager who is not me. ; No time is devoted each month during securities trading hours; 1-5 hours are devoted each month outside of securities trading hours. 8) Inversiones Turisticas Mendiguaca SA; Real Estate Development; Investment-related; Mendihuaca, Magdalena, Colombia; Affiliation started on 11/30/2020; Title: Owner; Duties: Owner; 0 hours devoted each month during securities trading hours; 4 hours devoted each month outside securities trading hours. 9) Insurance Agent; licensed for the sale of annuities and life insurance since 8/2023, conducts business from branch address, spends approximately 4 hours a month on this activity both during and after security trading hours. 10) Licensed IAR with Bolton Securities corporation, providing investment advisory services. Conducted from branch location and is investment related. Service is provided under 'PWA Family Office' DBA name. Title is 'Managing Partner' / 'Senior Financial Advisor'. 9) Enrique is the author of a book about financial education. Not investment related. The book was published 10/01/2024 and is available for public purchase. The title is "Gestion Patrimonial 10.0". 0 hours spent per month, outside or during trade hours.
CRS (Client Relationship Summary) - RIA
Click below to view Enrique Ortega's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Enrique Ortega'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 19, 2023 - Present
BOLTON SECURITIES CORPORATION
Office #1: 1441 Brickell Ave Suite 1700, Miami, FL 33131RIA
BD
CRD#: 129376
MIAMI, FL
Current
April 17, 2023 - Present
BOLTON GLOBAL CAPITAL
Office #1: 1441 Brickell Ave Suite 1700, Miami, FL 33131BD
CRD#: 15650
Miami, FL
Past
November 5, 2013 - May 5, 2023
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
Miami, FL
Past
November 1, 2013 - May 5, 2023
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Miami, FL
Past
February 27, 2012 - September 17, 2013
VALLEY FINANCIAL MANAGEMENT, INC.
RIA
CRD#: 105387
AVENTURA, FL
Past
January 13, 2012 - September 17, 2013
VALLEY FINANCIAL MANAGEMENT, INC.
BD
CRD#: 105387
AVENTURA, FL
Past
March 4, 2011 - January 9, 2012
EFG CAPITAL INTERNATIONAL
BD
CRD#: 40118
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
California(4/17/2023)
RR
Florida(4/17/2023)
IAR
Florida(4/19/2023)
RR
New York(4/17/2023)
RR
Texas(4/17/2023)
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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