Eileen M. Esposito
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Eileen Mcfadden Esposito was a registered financial professional .
Eileen is a previously registered financial professional and started their career in finance in 1994. Eileen had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 1996 - December 31, 2023
PROFESSIONAL PLANNING GROUP
February 15, 1996 - December 31, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 26, 1994 - January 26, 1996
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
PROFESSIONAL PLANNING GROUP
CRD#: 108868 / SEC#: 801-15330
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PROFESSIONAL PLANNING GROUP
CRD#: 108868 / SEC#: 801-15330
Contact information
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,354 |
| AUM (Assets Under Management) | $ 1,166,383,072 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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