CD
Conny S. De La Torre
BOLTON SECURITIES
MIAMI, FL 33131
Some features on this profile are disabled
CRD#: 6195169
CD
Professional summary
Conny S De La Torre, CFP®, who also goes by Conny Stephany De La Torre, Conny De La Torre, is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Miami, Florida and BOLTON GLOBAL CAPITAL located in Fort Lauderdale, Florida.
Conny is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Conny has worked at 4 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Conny Stephany De La Torre | Conny De La Torre
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)Conny is also registered as an IAR with Bolton Securities Corporation, an SEC licensed IA. Investment related and conducted from Branch location. Conny operates under the title 'Financial Advisor', using the DBA 'Bolton Global Capital'. 2) Licensed to sell fixed insurance products. Conny uses her insurance license to sell Variable Annuities only, which are sold through Bolton Global Capital. Conducted from Branch location and Variable Annuities are investment related. Conny does not sell fixed insurance products. 3) Co-owner and Principal of Neyra De La Torre Global Wealth, LLC. This LLC is used for accounting purposes related to Bolton investment services and is not publicly advertised. Began 10/09/2023 in Florida. Management of LLC is balanced with providing investment services, but takes up a nominal amount of time. Not investment related and conducted from Branch location. 4) Owner and Principal of CDLT Global, LLC. LLC is used for personal accounting purposes. Not publicly advertised. Began 10/09/2023 in Florida. Not investment related and is conducted from Branch location. Management of LLC is balanced with providing investment services but takes up a nominal amount of time.
CRS (Client Relationship Summary) - RIA
Click below to view Conny S De La Torre's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Conny S De La Torre'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®
Experience
Current
October 6, 2023 - Present
BOLTON SECURITIES CORPORATION
Office #1: 1441 Brickell Ave Suite 1700, Miami, FL 33131RIA
BD
CRD#: 129376
MIAMI, FL
Current
October 3, 2023 - Present
BOLTON GLOBAL CAPITAL
Office #1: 200 E Las Olas Blvd 14th Floor, Fort Lauderdale, FL 33301BD
CRD#: 15650
FORT LAUDERDALE, FL
Past
July 2, 2014 - October 4, 2023
MORGAN STANLEY
RIA
CRD#: 149777
Fort Lauderdale, FL
Past
July 1, 2014 - October 4, 2023
MORGAN STANLEY
BD
CRD#: 149777
Fort Lauderdale, FL
Past
May 6, 2014 - July 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FORT LAUDERDALE, FL
Past
December 13, 2013 - July 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
FORT LAUDERDALE, 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(10/3/2023)
RR
Colorado(10/3/2023)
RR
Florida(10/3/2023)
IAR
Florida(10/6/2023)
RR
Illinois(10/3/2023)
RR
Pennsylvania(10/3/2023)
Exams
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.
Company Information
BOLTON SECURITIES CORPORATION
CRD#: 129376Miami, FL 33131TRUST BUT VERIFY
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