AE
Ann Esarco
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CRD#: 3180137
AE
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.
Ann Esarco was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1999. Ann had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
1) MCHENRY COUNTY COLLEGE, NOT INV REL, INSTRUCTOR FOR COURSES IN ACCTG/TAXATION, 25H/WK, SINCE 09/1993; 2) COLUMBIA COLLEGE, NOT INV REL, INSTRUCTOR OF ONLINE TAXATION CLASSES, 7H/WK, SINCE 09/1997; 3) AJE ASSOCIATES, PC, NOT INV REL, ACCTG/TAX PLANNING, CPA, SINCE 12/2015, 5H/WK; 4)ESARCO WEALTH MANAGEMENT SERVICES; DBA NAME FOR INVESTMENT PRACTICE - INV. RELATED; LAKE GENEVA, WI; SOLE PROPRIETOR; SINCE 11/2012; 10 HRS/MONTH; 8 HRS/MONTH DURING SECURITIES TRADING HOURS: 5) LAKE GENEVA UTILITY COMMISSION; NON-INV. RELATED; LAKE GENEVA, WI; CITY WATER UTILITY; COMISSIONER; SINCE 10/2011; 2 HRS/MONTH: 6)ANN ESARCO; NON-INV. RELATED; LAKE GENEVA, WI; ACADEMIC SERVICES-BOOK REVIEWS/COURSE DEVELOPMENT; OWNER; SINCE 06/2012; 5 HRS/MONTH: 7) CITY OF LAKE GENEVA - PARK BOARD, NOT INVESTMENT RELATED, 626 GENEVA ST, LAKE GENEVA, WI 53147, PARKS AND RECEREATION , STARTED 1/2017, PRESIDENT, APX 2 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: RECOMMENDATIONS TO CITY COUNSEL: 8) AVANT BICYCLE AND CAF�, NOT INVESTMENT RELATED, 234 BROAD ST, LAKE GENEVA, WI 53147, RETAIL COFFEE AND BICYCLES , STARTED 1/2017, PARTNER, APX 3 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: TREASURER, MANAGE FINANCIAL ACCOUNTING. 9) NAME OF OTHER BUSINESS: CITY OF LAKE GENEVA, WI; INVESTMENT RELATED: NO; ADDRESS: 626 MAIN ST LAKE GENEVA WI 53147; NATURE OF BUSINESS: PUBLIC SERVICE; START DATE: 4/2021; POSITION/TITLE/RELATIONSHIP: COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: ASSIST WITH CITY RULES, REGULATIONS;
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
August 18, 1999 - October 24, 2022
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
LAKE GENEVA, WI
Past
April 27, 1999 - October 24, 2022
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
LAKE GENEVA, WI
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
