Vincent Esparza

CETERA INVESTMENT ADVISERS LLC

Phoenix, AZ 85027

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CRD#: 1369601

Professional summary

Vincent Esparza III, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Phoenix, Arizona and CETERA ADVISORS LLC located in Phoenix, Arizona.

Vincent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Vincent has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent Esparza III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

March 4, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 23335 N 18th Drive, Phoenix, AZ 85027

RIA

CRD#: 105644

Phoenix, AZ

Current

March 3, 2025 - Present

CETERA ADVISORS LLC

Office #1: 23335 N 18th Drive Suite 136, Phoenix, AZ 85027

CRD#: 10299

PHOENIX, AZ

Past

October 15, 2024 - March 5, 2025

OSAIC ADVISORY SERVICES, LLC

RIA

CRD#: 171070

ATLANTA, GA

Past

October 11, 2024 - October 11, 2024

OSAIC WEALTH, INC.

RIA

CRD#: 23131

Phoenix, AZ

Past

October 11, 2024 - March 5, 2025

OSAIC WEALTH, INC.

CRD#: 23131

Phoenix, AZ

Past

August 1, 2002 - October 11, 2024

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

November 30, 2001 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

Phoenix, AZ

Past

December 18, 1997 - December 1, 2001

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

October 4, 1993 - December 23, 1997

FOX & COMPANY INVESTMENTS INC.

CRD#: 18517

SCOTTSDALE, AZ

Past

January 7, 1987 - October 5, 1993

BERKSHIRE EQUITY SALES, INC.

CRD#: 87

PITTSFIELD, MA

Past

June 17, 1986 - January 15, 1987

VALUE EQUITIES CORPORATION

CRD#: 13316

Past

July 23, 1985 - June 12, 1986

MAI SECURITIES CORPORATION

CRD#: 13200

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(3/4/2025)

IAR

Arizona
(3/4/2025)

California
(3/3/2025)

Colorado
(3/5/2025)

Florida
(3/4/2025)

Georgia
(3/5/2025)

Hawaii
(3/4/2025)

Idaho
(3/3/2025)

Kansas
(10/16/2025)

Massachusetts
(3/4/2025)

Nebraska
(3/7/2025)

Nevada
(3/7/2025)

Washington
(3/6/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/14/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/26/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 4/12/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/5/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Vincent Esparza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent Esparza III's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

OSAIC ADVISORY SERVICES, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

NATHAN & LEWIS SECURITIES, INC.

FOX & COMPANY INVESTMENTS INC.

BERKSHIRE EQUITY SALES, INC.

VALUE EQUITIES CORPORATION

MAI SECURITIES CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/14/1999

Series 63

Date: 7/26/1985

SIE

Date: 10/1/2018

Series 7

Date: 7/20/1985

Series 51

Date: 4/12/2003

Series 24

Date: 7/5/1995

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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