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EA

Ernesto Amengual

BOLTON GLOBAL CAPITAL
Weston, FL 33326
Some features on this profile are disabled
CRD#: 7694964
EA

Professional summary

Ernesto Amengual is a registered financial professional currently at BOLTON GLOBAL CAPITAL located in Weston, Florida.

Ernesto is registered as a RR (Registered Representative) and started their career in finance in 2023. Ernesto has worked at 1 firm and has passed the Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ernesto Amengual's CRS (Customer Relationship Summary).
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

July 28, 2023 - Present

BOLTON GLOBAL CAPITAL

Office #1: 55 Weston Road Suite 301, Weston, FL 33326
BD
CRD#: 15650
Weston, FL

State Registrations and Notice Filings

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

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
Florida
(7/28/2023)

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 7/27/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/26/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

BG
BOLTON GLOBAL CAPITAL
BOLTON GLOBAL CAPITAL | DELTA EQUITY SERVICES CORPORATION | CLARY FINANCIAL PLANNING SERVICES INC. | CLARY FINANCIAL PLANNING SERVICES

CRD#: 15650 / SEC#: , 8-33222

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) 779-5361
Established
Massachusetts since 11/29/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GRENIER, RAYMOND GERARDCHAIRMAN OF THE BOARD1404159
BEALS, MATTHEW GEORGEPRESIDENT AND CHIEF OPERATING OFFICER5157251
CATALDO, JOHN GENNAROCHIEF ADMINISTRATIVE AND LEGAL OFFICER5707721
MAHLE, DAPHNE JANECHIEF COMPLIANCE OFFICER4367277
PRESKENIS, STEVEN CHRISTOPHERCHIEF EXECUTIVE OFFICER4410822
TARPEY, STEVEN RCHIEF FINANCIAL OFFICER6640625

Disclosures

Regulatory Event11
Arbitration3
Bond4

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 GLOBAL CAPITAL

CRD#: 15650Weston, FL 33326

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