BOLTON SECURITIES CORP of BOLTON, MA is an SEC-registered investment adviser (CRD 129376). Regulatory assets under management: $8.3B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Performance, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Steven Christopher Preskenis | CHIEF EXECUTIVE OFFICER; PRESIDENT; PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| Philippe Benjamin Grenier | TRUSTEE; VICE PRESIDENT OF TRADING | — |
| Mary Louise Grenier | BENEFICIAL OWNER | — |
| Daphne Jane Mahle | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER(IA) | — |
| Raymond Louis Jr Grenier | SPOUSE OF BENEFICIAL OWNER | — |
| Steven R Tarpey | CFO AND FINOP | — |
| John Gennaro Cataldo | CHIEF LEGAL OFFICER; CHIEF LEGAL OFFICER AND CHIEF ADMIN OFF. | — |
| Eugene Francis Jr Hayes | CFO & FINOP | — |
| POWERS GERALD HARLAN | CHIEF COMPLIANCE OFFICER | — |
| MOORE MARTHA JEAN | COMPLIANCE OFFICER(BD); PRESIDENT; PRESIDENT AND CHIEF COMPLIANCE OFFICER (+1 more) | — |
| HAYES EUGENE FRANCIS | TREASURER | — |
| GRENIER MARY LOUISE | BENEFICIAL OWNER; SHAREHOLDER | — |
| GRENIER PHILIPPE BENJAMIN | TRUSTEE; TRUSTEE OF TRUST; VICE PRESIDENT OF TRADING | — |
| PRESKENIS STEVEN CHRISTOPHER | CHIEF EXECUTIVE OFFICER; PRESIDENT & CHIEF COMPLIANCE OFFICER; VICE PRESIDENT | — |
| MAHLE DAPHNE JANE | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER(IA) | — |
| HAYES EUGENE FRANCIS JR | CFO & FINOP; CHIEF FINANCIAL OFFICER & FINOP | — |
| AUBBEY SCOTT PAUL | GENERAL COUNSEL & AML OFFICER; GENERAL COUNSEL AND AML OFFICER | — |
| GRENIER RAYMOND LOUIS JR | SPOUSE OF BENEFICIAL OWNER; SPOUSE OF BENEFICIAL OWNER MARY L. GRENIER | — |
| GRENIER RAYMOND LOUIS | SPOUSE OF SHAREHOLDER | — |
| Matthew George Beals | PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-11-04 | civil | THE SECURITIES AND EXCHANGE COMMISSION CHARGED BOLTON SECURITIES CORPORATION D/B/A BOLTON GLOBAL ASSET MANAGEMENT, A REGISTERED INVESTMENT ADVISER AND BROKER-DEALER, WITH FAILING TO DISCLOSE MATERIAL CONFLICTS OF INTEREST RELATED TO MUTUAL FUND 12B-1 FEES AND PRINCIPAL TRADING COMPENSATION GENERATED… | Final | $225K |
| 2006-07-25 | regulatory | THE COMPLAINT GENERALLY ALLEGES THAT BOLTON SECURTIES CORP AND/OR RAYMOND GRENIER FILED AN INCOMPLETE, FALSE OR MISLEADING APPLICATION IN FILINGS OF ITS FORM ADV WITH THE MASSACHUSETTS DIVISION OF SECURITIES. | Final | — |
| — | regulatory | — | — | — |
| — | criminal | — | — | — |
Showing 15 of 34 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| FALMOUTH | ME | 8 | 800-578-9017 |
| MIAMI | FL | 6 | 7866937855 |
| MIAMI | FL | 5 | 7866937831 |
| BROWNSVILLE | TX | 4 | 9565443622 |
| HOUSTON | TX | 4 | 2813779750 |
| MIAMI | FL | 4 | 7866050730 |
| LAKEWOOD | FL | 3 | 9413662028 |
| FALMOUTH | ME | 3 | 2078781574 |
| MIAMI | FL | 3 | 7866937835 |
| MIAMI | FL | 3 | 7866937867 |
| MIAMI | FL | 3 | 3052050042 |
| MIAMI | FL | 3 | 7866937827 |
| MIAMI | FL | 3 | 7866937815 |
| MIAMI | FL | 3 | 7866937892 |
| MIAMI | FL | 2 | 7866937854 |