MF
Miguel Fernandez
BOLTON SECURITIES
New York, NY 10017
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CRD#: 6395779
MF
Professional summary
Miguel Fernandez is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in New York, New York and BOLTON GLOBAL CAPITAL located in North Miami Beach, Florida.
Miguel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Miguel has worked at 6 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) Miguel is also registered as an Investment Advisor Representative with Bolton Global Asset Management, an SEC licensed Investment Advisor. Miguel's brokerage services at his Branch are balanced with investment advisory services. This is conducted at his Branch location and is investment related. 2) Miguel is founder and owner of his personal s-corp used for tax and accounting purposes, 'Fernandez Capital Advisors, LLC'. Not a public-facing entity and is not tied to investments. Conducted from Branch location. Less than 1-hour spent per month of activity.
CRS (Client Relationship Summary) - RIA
Click below to view Miguel Fernandez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Miguel Fernandez'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
July 5, 2022 - Present
BOLTON SECURITIES CORPORATION
Office #1: 489 5th Avenue 21st Floor, New York, NY 10017RIA
BD
CRD#: 129376
New York, NY
Current
March 3, 2020 - Present
BOLTON GLOBAL CAPITAL
Office #2: 205 Datura St Suite 200 #2, West Palm Beach, FL 33401Office #3: 1441 Brickell Avenue Suite 1700, Miami, FL 33131BD
CRD#: 15650
NORTH MIAMI BEACH, FL
Past
June 27, 2016 - March 2, 2020
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
June 27, 2016 - March 2, 2020
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
May 26, 2015 - September 15, 2015
INSIGNEO WEALTH ADVISORS, LLC
RIA
CRD#: 112706
MIAMI, FL
Past
March 20, 2015 - September 9, 2015
INSIGNEO SECURITIES, LLC
BD
CRD#: 29249
MIAMI, FL
Past
January 2, 2015 - April 21, 2015
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
MIAMI, FL
Past
November 25, 2014 - April 21, 2015
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
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
Colorado(4/28/2020)
RR
Florida(3/3/2020)
IAR
Florida(7/5/2022)
RR
New Jersey(3/3/2020)
RR
New York(3/3/2020)
RR
Pennsylvania(3/3/2020)
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.
