AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
LR

Larry R. Rozas

BOLTON SECURITIES
MIAMI, FL 33131
Some features on this profile are disabled
CRD#: 6029752
LR

Professional summary

Larry Raphael Rozas is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Miami, Florida and BOLTON GLOBAL CAPITAL located in Miami, Florida.

Larry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Larry has worked at 16 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 99, Series 53, Series 4 and Series 24 exams.

top-8-questions

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 Windhorse Corp., entity created 09/10/2014 in Florida. Currently this entitiy is not used for any purposes, but is active. Not investment related and not conducted from business location. 2. Owner of Windhorse Fund LLC, entity created 09/10/2014 in Florida. Currently this entitiy is not used for any purposes, but is active. Not investment related and not conducted from business location.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Larry Raphael Rozas's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Larry Raphael Rozas'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

April 14, 2025 - Present

BOLTON SECURITIES CORPORATION

Office #1: 1441 Brickell Ave Suite 1700, Miami, FL 33131
RIA
BD
CRD#: 129376
MIAMI, FL
Current

April 9, 2025 - Present

BOLTON GLOBAL CAPITAL

Office #1: 1441 Brickell Avenue Suite 1700, Miami, FL 33131
BD
CRD#: 15650
Miami, FL
Past

November 19, 2024 - April 5, 2025

CONSENSUS SECURITIES LLC

BD
CRD#: 144684
NORWOOD, MA
Past

October 30, 2024 - April 5, 2025

REPUBLIC PARTNERS, LLC

BD
CRD#: 281607
CHICAGO, IL
Past

September 11, 2024 - April 7, 2025

NORTHBOUND SECURITIES LLC

BD
CRD#: 314549
DELREY BEACH, FL
Past

August 9, 2024 - April 5, 2025

ATOMIC VAULTS SECURITIES, LLC

BD
CRD#: 317194
SAN FRANCISCO, CA
Past

April 24, 2024 - April 5, 2025

FINTRON ADVISORS, LLC

RIA
CRD#: 324052
Miami, FL
Past

April 24, 2024 - April 5, 2025

APEX FINTECH BROKERAGE SERVICES

BD
CRD#: 305818
DALLAS, TX
Past

January 11, 2024 - April 16, 2024

FLORIDA ATLANTIC SECURITIES CORP.

RIA
CRD#: 43272
MIAMI, FL
Past

January 9, 2024 - April 16, 2024

FLORIDA ATLANTIC SECURITIES CORP.

BD
CRD#: 43272
MIAMI, FL
Past

March 9, 2023 - January 2, 2024

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
FT. LAUDERDALE, FL
Past

February 8, 2023 - January 2, 2024

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
FORT LAUDERDALE, FL
Past

November 1, 2021 - February 14, 2023

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
Miami, FL
Past

July 20, 2020 - February 14, 2023

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Miami, FL
Past

October 3, 2019 - July 27, 2021

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 17053
MIAMI, FL
Past

January 23, 2018 - September 3, 2019

INSIGHT SECURITIES, INC.

RIA
CRD#: 5611
Miami, FL
Past

July 3, 2017 - September 3, 2019

INSIGHT SECURITIES, INC.

BD
CRD#: 5611
Miami, FL
Past

February 8, 2016 - June 28, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
MIAMI, FL
Past

February 2, 2016 - June 28, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
MIAMI, FL
Past

July 2, 2014 - January 29, 2016

BOLTON SECURITIES CORPORATION

RIA
CRD#: 129376
Miami, FL
Past

May 27, 2014 - January 29, 2016

BOLTON SECURITIES CORPORATION

BD
CRD#: 129376
Miami, FL
Past

April 4, 2014 - January 29, 2016

BOLTON GLOBAL CAPITAL

BD
CRD#: 15650
Miami, FL
Past

August 29, 2013 - March 10, 2014

CP CAPITAL SECURITIES

RIA
CRD#: 15029
MIAMI, FL
Past

November 16, 2012 - March 10, 2014

CP CAPITAL SECURITIES

BD
CRD#: 15029
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
(4/9/2025)
IAR
Florida
(4/14/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/1/2015
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/21/2013
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 5/24/2021
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/6/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99
Date: 11/15/2012
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/19/2021
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/16/2021
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/19/2015
General Securities Principal Examination
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
BOLTON FINANCIAL GROUP, INC.SHAREHOLDER
PRESKENIS, STEVEN CHRISTOPHERPRESIDENT4410822
CATALDO, JOHN GENNAROCHIEF LEGAL OFFICER5707721
MAHLE, DAPHNE JANECHIEF COMPLIANCE OFFICER4367277
TARPEY, STEVEN RCFO AND FINOP6640625

Regulatory assets under management

Total Number of Accounts6,977
AUM (Assets Under Management)$ 7,004,872,405

Disclosures

Regulatory Event1
Civil Event1

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 33131

TRUST BUT VERIFY

Monitor Larry Rozas

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Noah Philip Alweiss
Noah AlweissAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
Miami, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.