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Investment Adviser Firm Summary

BOLTON SECURITIES CORP (CRD# 129376 / SEC# 8-68187, 801-66962)
Alternate Names: BOLTON GLOBAL ASSET MANAGEMENT , BOLTON SECURITIES CORP , BOLTON SECURITIES CORPORATION , DELTA GLOBAL ASSET MANAGEMENT

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/09/2006
Georgia Terminated 08/14/2006
Massachusetts Terminated 08/17/2006

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 03/31/2011
California 08/09/2006
Colorado 01/06/2009
Connecticut 03/20/2009
Florida 08/09/2006
Georgia 08/09/2006
Hawaii 01/28/2010
Illinois 09/06/2007
Indiana 10/31/2018
Maine 08/09/2006
Maryland 10/31/2007
Massachusetts 08/09/2006
Michigan 09/06/2007
Minnesota 07/24/2012
Mississippi 02/09/2009
Missouri 04/27/2007
Montana 11/09/2015
Nebraska 10/09/2015
Nevada 01/28/2010
New Hampshire 03/26/2007
New Jersey 02/05/2009
New Mexico 02/09/2009
New York 01/06/2009
North Carolina 09/25/2006
Ohio 09/27/2006
Oklahoma 06/25/2009
Oregon 04/18/2011
Pennsylvania 01/06/2009
Rhode Island 08/21/2008
South Carolina 10/27/2009
Tennessee 05/17/2007
Texas 11/02/2006
Utah 06/25/2009
Vermont 10/27/2009
Virginia 02/05/2014
Washington 01/24/2008
Wisconsin 02/26/2009

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser