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Miguel Andres Ballestas

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Additional Firm:
Type: SEC and FINRA Registered

Miguel Ballestas is a financial professional at Bolton Global Capital, a broker-dealer with 119 registered representatives nationwide. Miguel is also registered with Bolton Global Asset Management, a broker-dealer with 82 registered representatives nationwide. Miguel has held an industry securities registration for 27 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Bolton Global Asset Management 1 year, 4 months Jun 2014 - Present
Bolton Global Capital 1 year, 4 months Jun 2014 - Present
Bank of America, N.A. 2 years, 3 months Mar 2012 - Jun 2014
Merrill Lynch, Pierce, Fenner & Smith Incorporated 29 years, 2 months Apr 1985 - Jun 2014
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 10/21/2005
Uniform Securities Agent State Law ExaminationSeries 63 07/20/1989
National Commodity Futures ExaminationSeries 3 11/25/1987
General Securities Representative ExaminationSeries 7 03/21/1987

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

Miguel Andres Ballestas has not answered any questions on Financial Q&A.

Top Articles

Miguel Andres Ballestas has not contributed any Financial Articles.
*Answers and articles are provided without compensation.

Firm Client Types

High Net Worth Individuals
Banking or Thrift Institutions
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

License Status

1 Customer Dispute

1 Termination

1 Customer Dispute

1 Termination

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Commissions
  • Performance-based Fees