SS
Sergio I. Sosa
BOLTON SECURITIES
HOUSTON, TX 77066
Some features on this profile are disabled
CRD#: 6175413
SS
Professional summary
Sergio Isai Sosa is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Houston, Texas and BOLTON GLOBAL CAPITAL located in Houston, Texas.
Sergio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Sergio has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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. Conducted under Bainbridge Financial Services DBA name. Activity is investment related and conducted from Branch location. This activity represents full-time job and is balanced with brokerage business. Representative is contact person. Has been associated since 08/2018. 2)Licensed to sell fixed insurance products. Investment related to the extent that an insurance policy fits into a person's financial plan. Minimal time spent per month on activity. Conducted from branch location. Began 09/2018. 3)Co-owner and Managing Partner of S&S Financial Services, LLC. Entity created 01/2019 to facilitate operations of securities and investment advisory businesses. Conducted from branch location. Minimal time spent on managing entity. 4) ) Co-owner and Manager of Teak Accents, LLC. Entity was created February 2022 in TX for purpose of operating Eduardo's wood working business where he builds and sells home accents. Sergio has been involved in building and selling home accents since 2009. Not investment related and not conducted from Branch location. 8 hours spent outside of business hours per month. 5) Co-Owner and Manager of 2603 Augusta 840 Lease, LLC. Entity created 5/16/2025 in TX for purpose of being the operating account for the lease of 2603 Augusta Drive, Suite 840, Houston, TX 77057. �Not a public-facing entity and not investment related. Conducted from the location of the lease and minimal time spent on managing entity
CRS (Client Relationship Summary) - RIA
Click below to view Sergio Isai Sosa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sergio Isai Sosa'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
August 29, 2018 - Present
BOLTON SECURITIES CORPORATION
Office #1: 12510 Cutten Road, Houston, TX 77066RIA
BD
CRD#: 129376
HOUSTON, TX
Current
August 29, 2018 - Present
BOLTON GLOBAL CAPITAL
Office #1: 2603 Augusta Drive Suite 840, Houston, TX 77057BD
CRD#: 15650
HOUSTON, TX
Past
June 1, 2017 - September 20, 2018
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
HOUSTON, TX
Past
May 27, 2013 - September 20, 2018
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
HOUSTON, TX
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
District of Columbia(6/17/2024)
RR
Florida(10/22/2018)
RR
Idaho(9/11/2020)
RR
Louisiana(8/8/2019)
RR
Texas(8/29/2018)
IAR
Texas(8/29/2018)
RR
Virginia(11/12/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
