Clifford G. Dow

Some features on this profile are disabled

CRD#: 71121

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Clifford George Dow, CFP® was a registered financial professional .

Clifford is a previously registered financial professional and started their career in finance in 1962. Clifford had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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.

Investment Advisor Representative with Bolton Global Asset Management, conducting business under DOW Wealth Management LLC, DOW Investment Group LLC, and/or Dow Capital Management, LLC. Investment related and conducted from branch location. This role represents full-time job and is balanced with securities commission-based services. Began upon association with current firm.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Past

January 11, 2006 - August 15, 2023

BOLTON SECURITIES CORPORATION

RIA

CRD#: 129376

FALMOUTH, ME

Past

November 1, 2005 - August 15, 2023

BOLTON GLOBAL CAPITAL

CRD#: 15650

FALMOUTH, ME

Past

October 16, 2002 - November 10, 2005

ADVEST, INC.

RIA

CRD#: 10

PORTLAND, ME

Past

September 30, 1985 - November 10, 2005

ADVEST, INC.

CRD#: 10

PORTLAND, ME

Past

July 30, 1975 - September 30, 1985

BURGESS & LEITH INCORPORATED

CRD#: 114

Past

July 8, 1974 - January 19, 1975

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

June 11, 1962 - August 19, 1975

W. E. HUTTON & CO.

CRD#: 861

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".

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)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 9/29/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/2/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 12/2/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 8/26/1960

Registered Representative Examination

Principal/Supervisory Exam

Series 8

Date: 2/8/1988

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BGAM FORM ADV PART 2A AND APPENDIX MARCH 2024 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
BOLTON FINANCIAL GROUP, INC.	SHAREHOLDER
PRESKENIS, STEVEN CHRISTOPHER	PRESIDENT	4410822
CATALDO, JOHN GENNARO	CHIEF LEGAL OFFICER	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Clifford G. Dow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BOLTON GLOBAL CAPITAL

ADVEST, INC.

ADVEST, INC.

BURGESS & LEITH INCORPORATED

THOMSON MCKINNON SECURITIES INC.

W. E. HUTTON & CO.

Primary Firm SEC Registration

BOLTON SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 9/29/1994

Series 63

Date: 1/2/1985

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

PC

Date: 12/2/1977

Series 1

Date: 8/26/1960

Series 8

Date: 2/8/1988

Current Firm

BOLTON SECURITIES CORPORATION

Contact information

SEC notice filing (38 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

BOLTON SECURITIES CORPORATION

TRUST BUT VERIFY

Similar Advisors