Vincent A. Esparza
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.
Vincent Anthony Esparza IV, who also goes by VIncent Anthony Esparza, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 2002. Vincent had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2015 - June 24, 2016
PAYCHEX SECURITIES CORPORATION
June 24, 2009 - September 5, 2014
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
April 5, 2007 - May 28, 2009
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
March 21, 2006 - August 11, 2006
ATLAS SECURITIES, LLC
October 18, 2004 - January 10, 2005
BANC ONE SECURITIES CORPORATION
April 29, 2002 - August 24, 2004
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
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
PAYCHEX SECURITIES CORPORATION
CRD#: 39733 / SEC#: , 8-48942
Contact information
FINRA licenses (51 States and Territories)
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.
