Mark A. Boutote

NEW LINE CAPITAL

FREEHOLD, NJ 07728

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CRD#: 704815

Professional summary

Mark Alan Boutote SR, who also goes by Mark Alan Boutote, is a registered financial advisor currently at NEW LINE CAPITAL, LLC located in Freehold, New Jersey.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Mark has worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 14 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark Alan Boutote

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Alan Boutote SR'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®

None

Experience

Current

May 7, 2015 - Present

NEW LINE CAPITAL, LLC

Office #1: 10 East Main Street, Freehold, NJ 07728

RIA

CRD#: 143677

FREEHOLD, NJ

Past

May 6, 2014 - August 29, 2014

NEW LINE CAPITAL, LLC

RIA

CRD#: 143677

FREEHOLD, NJ

Past

January 6, 2012 - December 11, 2013

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

FREEHOLD, NJ

Past

December 16, 2011 - December 11, 2013

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

FREEHOLD, NJ

Past

May 22, 2007 - November 10, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

FREEHOLD, NJ

Past

May 2, 2007 - November 10, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

FREEHOLD, NJ

Past

August 1, 2006 - March 29, 2007

OPUS TRADING FUND LLC

CRD#: 125204

JERICHO, NY

Past

May 3, 2004 - July 21, 2006

PRINCETON FINANCIAL GROUP, LLC

CRD#: 44865

NORTH BRUNSWICK, NJ

Past

April 12, 1999 - April 27, 2004

DIRECT BROKERAGE, INC.

CRD#: 24907

NEW YORK, NY

Past

November 22, 1996 - July 16, 1998

DIRECT BROKERAGE, INC.

CRD#: 24907

NEW YORK, NY

Past

February 22, 1980 - January 25, 1985

WAGNER, STOTT & CO.

CRD#: 3690

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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(5/7/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/10/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/11/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/16/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 9/27/2000

Compliance Officer Examination

Current Firm

NEW LINE CAPITAL, LLC

CRD#: 143677 / SEC#: 801-67819

RIA

Registered Investment Advisory firm - (8/29/2014 Terminated)

California

Registered Investment Advisory firm - (12/16/2020 Terminated)

Colorado

Registered Investment Advisory firm - (5/8/2015 Approved)

Connecticut

Registered Investment Advisory firm - (1/21/2021 Approved)

New Jersey

Registered Investment Advisory firm - (5/7/2015 Approved)

New Mexico

Registered Investment Advisory firm - (8/25/2014 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Santa Fe, NM

Mailing Address

P.o. Box 2778, Santa Fe, NM 87504

Phone number

(505) 989-7211

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	27
AUM (Assets Under Management)	$ 29,317,194

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.

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Advisor Monitoring

Firm Stability Insights

Mark A. Boutote

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Alan Boutote SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEW LINE CAPITAL, LLC

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

OPUS TRADING FUND LLC

PRINCETON FINANCIAL GROUP, LLC

DIRECT BROKERAGE, INC.

DIRECT BROKERAGE, INC.

WAGNER, STOTT & CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/10/2007

Series 63

Date: 2/11/2000

Series 7

Date: 2/16/1980

Series 14

Date: 9/27/2000

Current Firm

NEW LINE CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NEW LINE CAPITAL, LLC

TRUST BUT VERIFY

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