SE
Shane Edmond
BOLTON SECURITIES
Danbury, CT 06811
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CRD#: 7032954
SE
Professional summary
Shane Edmond is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Danbury, Connecticut and DOW FAMILY OFFICE ADVISORY, LLC located in West Caldwell, New Jersey.
Shane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Shane has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Shane Edmond's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shane Edmond'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
October 23, 2018 - Present
BOLTON SECURITIES CORPORATION
Office #1: 100 Mill Plain Road 3rd Floord, Danbury, CT 06811RIA
BD
CRD#: 129376
Danbury, CT
Current
May 5, 2026 - Present
DOW FAMILY OFFICE ADVISORY, LLC
RIA
CRD#: 340475
WEST CALDWELL, NJ
Current
May 25, 2019 - Present
BOLTON GLOBAL CAPITAL
Office #1: 100 Mill Plain Road 4th Floor, Danbury, CT 06811BD
CRD#: 15650
DANBURY, CT
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(8/3/2023)
RR
Colorado(8/3/2023)
IAR
Connecticut(10/23/2018)
RR
Connecticut(7/30/2019)
RR
Delaware(8/3/2023)
RR
District of Columbia(8/3/2023)
RR
Florida(8/3/2023)
RR
Georgia(8/3/2023)
RR
Illinois(8/3/2023)
RR
Maine(8/3/2023)
RR
Maryland(8/3/2023)
RR
Massachusetts(8/3/2023)
RR
Minnesota(7/15/2024)
RR
Nevada(8/3/2023)
RR
New Hampshire(8/3/2023)
RR
New Jersey(8/3/2023)
IAR
New Jersey(1/29/2026)
RR
New York(8/3/2023)
RR
North Carolina(8/3/2023)
RR
Oregon(8/3/2023)
RR
Pennsylvania(8/3/2023)
RR
Rhode Island(8/3/2023)
RR
South Carolina(8/3/2023)
RR
Texas(8/3/2023)
RR
Virginia(8/3/2023)
RR
Washington(4/13/2026)
RR
Wisconsin(8/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/25/2019
General Securities Representative ExaminationGeneral 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)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOLTON FINANCIAL GROUP, INC. | SHAREHOLDER | |
| PRESKENIS, STEVEN CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 4410822 |
| BEALS, MATTHEW GEORGE | PRESIDENT | 5157251 |
| CATALDO, JOHN GENNARO | CHIEF LEGAL OFFICER AND CHIEF ADMIN OFF. | 5707721 |
| MAHLE, DAPHNE JANE | CHIEF COMPLIANCE OFFICER | 4367277 |
| TARPEY, STEVEN R | CFO AND FINOP | 6640625 |
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#: 129376Danbury, CT 06811TRUST BUT VERIFY
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