Omar G. Esparza

VOYA FINANCIAL ADVISORS

SAGINAW, TX

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CRD#: 4247572

Professional summary

Omar Guadalupe Esparza, who also goes by Omar G Esparza, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Saginaw, Texas.

Omar is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Omar has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Omar G Esparza

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.

NAME OF ENTITY:AMBASSADOR COMMITTEE FOR THE FORT WORTH HISPANIC CHAMBER; No; 1327 N. MAIN ST; FORT WORTH; TX; 76164; SERVE ON THE AMBASSADOR COMMITTEE FOR THE FORT WORTH HISPANIC CHAMBER. HELP PROMOTE AND ADVANCE THE AGENDA FOR THE CHAMBER; AMBASSADOR COMMITTEE BOARD MEMBER; 7/1/2010; 5; 0; ATTEND BOARD MEETINGS, RIBBON CUTTINGS, REPRESENT THE CHAMBER AT AWARD CEREMONIES AND CITY EVENTS.|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Omar Guadalupe Esparza's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Omar Guadalupe Esparza'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 27, 2013 - Present

VOYA FINANCIAL ADVISORS, INC.

Office #2: 24 Greenway Plaza Suite 1725, Houston, TX 77046

RIA

CRD#: 2882

SAGINAW, TX

Current

June 6, 2013 - Present

VOYA FINANCIAL ADVISORS, INC.

Office #1: 24 Greenway Plaza Suite 1725, Houston, TX 77046

RIA

CRD#: 2882

HOUSTON, TX

Past

January 3, 2011 - January 31, 2012

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

ADDISON, TX

Past

January 3, 2011 - January 31, 2012

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

ADDISON, TX

Past

November 9, 2010 - January 3, 2011

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

ADDISON, TX

Past

July 7, 2010 - January 3, 2011

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

ADDISON, TX

Past

January 30, 2006 - December 2, 2008

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

FORT WORTH, TX

Past

June 27, 2005 - December 2, 2008

PRINCIPAL SECURITIES, INC.

CRD#: 1137

FORT WORTH, TX

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".

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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

Texas
(6/6/2013)

IAR

Texas
(11/27/2013)

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 66

Date: 1/27/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/2/2005

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: 6/25/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/9/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Orange Way, Windsor, CT 06095

Mailing Address

One Orange Way, Windsor, CT 06095

Phone number

+1 (800) 356-2906

Established

Minnesota since 04/26/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

563

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (12/10/2025)

PART 2A APPENDIX 1 OF FORM ADV: WRAP FEE PROGRAM BROCHURE (12/10/2025)

PART 2A APPENDIX OF FORM ADV: INVESTOR CHANNEL WRAP FEE PROGRAM BROCHURE (12/10/2025)

Direct owners and executive officers

Name	Position	CRD#
VOYA HOLDINGS INC.	100% SHAREHOLDER
BOHN, FREDERICK HENRY	CHIEF FINANCIAL OFFICER	5791728
DEPRATTI, JOHN J	VP, OPERATIONS PRINCIPAL	2927917
PAASCH, STEPHAN ANTHONY	CHIEF COMPLIANCE OFFICER	2968516
REILLY, JONATHAN FRANCIS	PRESIDENT	2039032

Regulatory assets under management

Total Number of Accounts	11,854
AUM (Assets Under Management)	$ 2,744,735,129

Disclosures

Regulatory Event	36
Arbitration	9

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

Omar G. Esparza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Omar Guadalupe Esparza's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Omar Guadalupe Esparza's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/27/2006

Series 63

Date: 7/2/2005

SIE

Date: 10/1/2018

Series 7

Date: 6/25/2005

Series 24

Date: 5/9/2014

FINRA

Current Firm

VOYA FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

VOYA FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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