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JE

Juan E. Esparza

LORD, ABBETT & CO. LLC
JERSEY CITY, NJ 07302-4804
Some features on this profile are disabled
CRD#: 5574357
JE

Professional summary

Juan Eduardo Esparza is a registered financial advisor currently at LORD, ABBETT & CO. LLC located in Jersey City, New Jersey and LORD ABBETT DISTRIBUTOR LLC located in Jersey City, New Jersey.

Juan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Juan has worked at 10 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juan Eduardo 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

March 20, 2023 - Present

LORD, ABBETT & CO. LLC

Office #1: 30 Hudson Street, Jersey City, NJ 07302-4804
RIA
CRD#: 110391
JERSEY CITY, NJ
Current

November 16, 2022 - Present

LORD ABBETT DISTRIBUTOR LLC

Office #1: 30 Hudson Street, Jersey City, NJ 07302-4804
BD
CRD#: 530
JERSEY CITY, NJ
Past

February 1, 2021 - June 11, 2021

VICTORY CAPITAL SERVICES, INC.

BD
CRD#: 37059
San Antonio, TX
Past

September 30, 2020 - December 21, 2020

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

June 22, 2015 - July 24, 2020

ALLIANCEBERNSTEIN L.P.

RIA
CRD#: 108477
SAN ANTONIO, TX
Past

June 22, 2015 - July 24, 2020

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
SAN ANTONIO, TX
Past

July 1, 2013 - April 20, 2015

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
SAN ANTONIO, TX
Past

October 1, 2012 - April 20, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
SAN ANTONIO, TX
Past

December 3, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
SAN ANTONIO, TX
Past

February 2, 2010 - July 8, 2010

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
SAN ANTONIO, TX
Past

May 25, 2009 - November 6, 2009

NYLIFE SECURITIES LLC

BD
CRD#: 5167
EL PASO, 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".
LA
LORD, ABBETT & CO. LLC
LORD ABBETT & CO. LLC | LORD, ABBETT & CO. LLC | LORD, ABBETT & CO.

CRD#: 110391 / SEC#: 801-6997

RIA
Registered Investment Advisory firm - (11/7/1970 Approved)

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.
RR
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

RR
New Jersey
(11/16/2022)
IAR
New Jersey
(3/20/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/17/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 6/28/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/16/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/22/2009
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/22/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LA
LORD, ABBETT & CO. LLC
LORD ABBETT & CO. LLC | LORD, ABBETT & CO. LLC | LORD, ABBETT & CO.

CRD#: 110391 / SEC#: 801-6997

RIA
Registered Investment Advisory firm - (11/7/1970 Approved)
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Contact information

Main Address
30 Hudson Street, Jersey City, NJ 07302-4804
Mailing Address
Phone number
(201) 827-2000
Established
Firm type
Fiscal year end
# of Employees
789

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (12/20/2024)

Regulatory assets under management

Total Number of Accounts30,191
AUM (Assets Under Management)$ 238,757,080,041

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.

Company Information

LORD, ABBETT & CO. LLC

CRD#: 110391Jersey City, NJ 07302-4804

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