James Esaw
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.
James Esaw, who also goes by James Reginald Esaw Jr., James Reginald Esaw, James Regis Esaw Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2009. James had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2014 - October 20, 2016
ALLSTATE FINANCIAL ADVISORS, LLC
January 16, 2014 - October 20, 2016
ALLSTATE FINANCIAL SERVICES, LLC
June 15, 2012 - December 9, 2013
OSAIC FA, INC.
June 15, 2012 - December 9, 2013
OSAIC FA, INC.
November 16, 2011 - May 21, 2012
M&T SECURITIES, INC.
January 12, 2011 - May 21, 2012
M&T SECURITIES, INC.
October 5, 2009 - January 3, 2011
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
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.
