Thomas A. Esposito

FIVE POINTS INVESTMENT ADVISORS

Sarasota, FL

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CRD#: 2458783

Professional summary

Thomas Anthony Esposito is a registered financial advisor currently at FIVE POINTS INVESTMENT ADVISORS, LLC located in Sarasota, Florida.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Thomas has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 27, Series 4 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 Thomas Anthony Esposito's 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 17, 2017 - Present

FIVE POINTS INVESTMENT ADVISORS, LLC

RIA

CRD#: 289903

Sarasota, FL

Past

December 20, 2010 - November 13, 2017

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

PHOENIX, AZ

Past

October 22, 2010 - November 13, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

PHOENIX, AZ

Past

September 24, 2008 - October 28, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SARASOTA, FL

Past

September 16, 2008 - October 28, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SARASOTA, FL

Past

April 26, 2004 - September 16, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SARASOTA, FL

Past

April 16, 2004 - September 16, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

SARASOTA, FL

Past

July 8, 2002 - April 30, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SARASOTA, FL

Past

July 3, 2002 - April 30, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 2, 2002 - July 8, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SARASOTA, FL

Past

January 2, 2002 - July 8, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 4, 1999 - October 29, 2001

GUGGENHEIM INVESTOR SERVICES, LLC

CRD#: 30096

NEW YORK, NY

Past

November 4, 1996 - June 12, 1998

GUGGENHEIM INVESTOR SERVICES, LLC

CRD#: 30096

NEW YORK, NY

Past

August 11, 1995 - April 15, 1996

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

BOSTON, MA

Past

March 28, 1994 - November 11, 1994

INTESA SANPAOLO IMI SECURITIES CORP.

CRD#: 19418

NEW YORK, NY

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

Florida
(11/17/2017)

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

IAR

Series 65

Date: 11/25/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/29/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/13/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/17/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/19/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 8/1/2000

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 1/8/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/23/1999

General Securities Principal Examination

Current Firm

FIVE POINTS INVESTMENT ADVISORS, LLC

CACTUS INVESTMENT ADVISORS, LLC | FIVE POINTS INVESTMENT ADVISORS, LLC

CRD#: 289903 / SEC#:

Florida

Registered Investment Advisory firm - (11/17/2017 Approved)

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Contact information

Main Address

Sarasota, FL

Mailing Address

Phone number

(941) 960-2880

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	54
AUM (Assets Under Management)	$ 40,727,171

Red Flags

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

Contact information

xxxxx@xxxx.xxx

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Thomas A. Esposito

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Anthony Esposito's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

GUGGENHEIM INVESTOR SERVICES, LLC

GUGGENHEIM INVESTOR SERVICES, LLC

NATIONAL FINANCIAL SERVICES LLC

INTESA SANPAOLO IMI SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/25/1997

Series 63

Date: 3/29/1994

SIE

Date: 11/13/2017

Series 31

Date: 1/17/2002

Series 7

Date: 3/19/1994

Series 27

Date: 8/1/2000

Series 4

Date: 1/8/2000

Series 24

Date: 8/23/1999

Current Firm

FIVE POINTS INVESTMENT ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FIVE POINTS INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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