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Miguel Andres Ballestas

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Information

Firm:
Additional Firm:
Type: Registered Representative
Description

Miguel Ballestas is a financial professional at Bolton Global Capital, a broker-dealer with 114 registered representatives nationwide. Miguel is also registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 31,700 registered representatives nationwide. Miguel has held an industry securities registration for 26 years and is subject to FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Bolton Global Asset Management 1 month, 3 weeks Jun 2014 - Present
Bolton Global Capital 1 month, 3 weeks Jun 2014 - Present
Bank of America,Na 2 years, 3 months Mar 2012 - Jun 2014
Merrill Lynch, Pierce, Fenner & Smith Incorporated 29 years, 2 months Apr 1985 - Jun 2014
Exams
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 Guides

0 Answers and 0 Financial Guides

Top Answers

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

Top Guides

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

Firm Client Types

Individuals
High Net Worth Individuals
State or Municipal Government Entities
Corporations or Other Businesses
Other
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

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

Licenses and Conduct

Regulator
License Status
Not registered
Registered
Disclosures

1 Customer Dispute

1 Termination

1 Customer Dispute

1 Termination

As of Date
07/02/2014
06/13/2014
*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

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions