Francisco P. 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.
Francisco P. Esparza, who also goes by Francisco P. Esparza, was a registered financial advisor .
Francisco is a previously registered financial advisor and started their career in finance in 2001. Francisco had worked at 6 firms and has passed the Series 66, 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
September 9, 2009 - January 29, 2010
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
September 4, 2009 - January 29, 2010
J.P. TURNER & COMPANY, L.L.C.
October 17, 2005 - September 10, 2009
LPL FINANCIAL LLC
October 17, 2005 - September 10, 2009
LPL FINANCIAL LLC
January 21, 2004 - October 28, 2005
UBS FINANCIAL SERVICES INC.
January 21, 2004 - October 28, 2005
UBS FINANCIAL SERVICES INC.
April 1, 2003 - January 22, 2004
CITICORP INVESTMENT SERVICES
April 1, 2003 - January 22, 2004
CITICORP INVESTMENT SERVICES
February 13, 2002 - March 28, 2003
MORGAN STANLEY DW INC.
July 24, 2001 - March 28, 2003
MORGAN STANLEY DW 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
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
CRD#: 124446 / SEC#: 801-67970
Contact information
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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