Frank J. Esposito

EVERNEST FINANCIAL ADVISORS

Carmel, IN 46032

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CRD#: 2457931

Professional summary

Frank Joseph Esposito, who also goes by Frank J Jr Esposito, Frank Joseph Esposito Jr, is a registered financial advisor currently at EVERNEST FINANCIAL ADVISORS located in Carmel, Indiana.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Frank has worked at 18 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank J Jr Esposito | Frank Joseph Esposito Jr

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.

1) Name: Providence Cristo Rey Building Corporation Position: Treasurer Nature: Oversee the physical facility for Providence Cristo Rey High School Investment Related: No Hours: 5 Securities Trading Hours: 1 Start Date: 04/18/2023 Address: 2717 S East St, Indianapolis IN 46255, United States Description: Governance of the entity and financial reporting and facilitation of relationship and transactions between financial institutions and Providence Cristo Rey High School 2) Bredeuf Hockey Club - Not Investment related - 2801 W 86TH ST, INDIANAPOLIS, IN 46268; Athletics; Treasurer; 6/1/2025; 5 hrs per month; Serves as a volunteer treasurer for the Brebeuf Jesuit Hockey . Responsibilities include review of the troop's accounting practices, and assisting in financial governance. 3) Boy Scouts of America; Not Investment Related; Indianapolis, Indiana, Committee Chair, 6/1/2025; 5 hrs per month; Serves as the volunteer Committee Chair for a local Boy Scouts of America troop. Responsibilities include coordinating troop volunteers, organizing committee meetings, and providing general administrative oversight for troop activities. No investment-related duties are performed, and no compensation of any kind is received.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Joseph Esposito'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®

None

Experience

Current

November 10, 2023 - Present

EVERNEST FINANCIAL ADVISORS

Office #1: 75 Executive Dr Suite B, Carmel, IN 46032

RIA

CRD#: 328161

Carmel, IN

Past

February 15, 2022 - December 11, 2023

SANCTUARY ADVISORS, LLC

RIA

CRD#: 226606

Carmel, IN

Past

December 17, 2015 - March 15, 2022

WINDSOR WEALTH MANAGEMENT, INC.

RIA

CRD#: 105279

INDIANAPOLIS, IN

Past

August 17, 2015 - December 31, 2015

WASHINGTON & SCOVILLE, LLC

RIA

CRD#: 281152

INDIANAPOLIS, IN

Past

July 5, 2013 - August 25, 2015

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

INDIANAPOLIS, IN

Past

July 5, 2013 - August 25, 2015

UBS FINANCIAL SERVICES INC.

CRD#: 8174

INDIANAPOLIS, IN

Past

September 11, 2009 - May 15, 2012

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

INDIANAPOLIS, IN

Past

September 11, 2009 - June 21, 2013

J.P. MORGAN SECURITIES LLC

CRD#: 79

INDIANAPOLIS, IN

Past

April 21, 2009 - September 4, 2009

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

February 4, 2009 - April 16, 2009

WATERMARK WEALTH MANAGEMENT, LLC

RIA

CRD#: 146530

INDIANAPOLIS, IN

Past

July 7, 2008 - November 12, 2008

WALLINGTON ASSET MANAGEMENT

RIA

CRD#: 143360

INDIANAPOLIS, IN

Past

March 22, 2007 - May 28, 2008

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

CHARLOTTE, NC

Past

December 12, 2006 - May 28, 2008

ALLSPRING FUNDS MANAGEMENT, LLC

RIA

CRD#: 110841

SAN FRANCISCO, CA

Past

September 8, 2005 - October 27, 2005

ALLSPRING GLOBAL INVESTMENTS, LLC

RIA

CRD#: 104973

SAN FRANCISCO, CA

Past

May 14, 2002 - December 31, 2004

STRONG CAPITAL MANAGEMENT INC

RIA

CRD#: 106638

MENOMONEE FALLS, WI

Past

May 14, 2002 - December 31, 2004

STRONG INVESTMENTS, INC.

CRD#: 15658

MENOMONEE FALLS, WI

Past

January 1, 1998 - April 11, 2002

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

July 10, 1997 - November 19, 1997

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

March 8, 1994 - October 4, 1994

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

March 8, 1994 - October 4, 1994

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

EVERNEST FINANCIAL ADVISORS

CRD#: 328161 / SEC#: 801-128908

RIA

Registered Investment Advisory firm - (10/30/2023 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.

Highlighted states indicate IAR registrations

IAR

Indiana
(11/10/2023)

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.

Exams

State Security Law Exam

Series 63

Date: 6/13/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/25/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/9/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/7/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/23/1998

General Securities Principal Examination

Current Firm

EVERNEST FINANCIAL ADVISORS

CRD#: 328161 / SEC#: 801-128908

RIA

Registered Investment Advisory firm - (10/30/2023 Approved)

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Contact information

Main Address

75 Executive Dr Suite B, Carmel, IN 46032

Mailing Address

Phone number

(317) 556-1015

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EVERNEST ADV 2A 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	992
AUM (Assets Under Management)	$ 761,243,070

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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Advisor Monitoring

Firm Stability Insights

Frank J. Esposito

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Joseph Esposito's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANCTUARY ADVISORS, LLC

WINDSOR WEALTH MANAGEMENT, INC.

WASHINGTON & SCOVILLE, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

NORTHERN TRUST SECURITIES, INC.

WATERMARK WEALTH MANAGEMENT, LLC

WALLINGTON ASSET MANAGEMENT

ALLSPRING FUNDS DISTRIBUTOR, LLC

ALLSPRING FUNDS MANAGEMENT, LLC

ALLSPRING GLOBAL INVESTMENTS, LLC

STRONG CAPITAL MANAGEMENT INC

STRONG INVESTMENTS, INC.

GOLDMAN SACHS & CO. LLC

DWS DISTRIBUTORS, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

EVERNEST FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 6/13/1997

SIE

Date: 8/25/2015

Series 7

Date: 7/9/1997

Series 6

Date: 3/7/1994

Series 24

Date: 12/23/1998

Current Firm

EVERNEST FINANCIAL ADVISORS

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EVERNEST FINANCIAL ADVISORS

TRUST BUT VERIFY

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