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Detailed Report
RENE ADOLFO BOLIVAR
RENE BOLIVAR
CRD#: 3275996
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2000200220042006200820102012201420162018202020222024IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2020 - 2021 (<1 year)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2012 - 2020 (8 years)IAFIRST ALLIED SECURITIES, INC. (CRD# 32444)2007 - 2012 (4 years)IALINSCO/PRIVATE LEDGER CORP. (CRD# 6413)2003 - 2007 (4 years)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1999 - 2003 (3 years)
Disclosure(s)
View By:
4/12/2023
Regulatory
Final
12/13/2021
Customer Dispute
Pending
11/27/2007
Employment Separation After Allegations
11/16/2004
Customer Dispute
Denied
Previous Registration(s)
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 11/12/2020 - 06/17/2021 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) SALINAS, CA
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 07/02/2012 - 11/12/2020 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) Salinas, CA
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 12/06/2007 - 07/02/2012 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SALINAS, CA
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 03/28/2003 - 12/18/2007 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) MONTEREY, CA
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 11/22/1999 - 05/09/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) CARMEL, CA
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.