SE
Salvatore Esposito
ZACKS INVESTMENT MANAGEMENT
CHICAGO, IL 60606
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CRD#: 5869213
SE
Professional summary
Salvatore Esposito is a registered financial advisor currently at ZACKS INVESTMENT MANAGEMENT, INC. located in Chicago, Illinois and LBMZ SECURITIES, INC. located in Chicago, Illinois.
Salvatore is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Salvatore has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Salvatore Esposito's 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®
NoneExperience
Current
March 25, 2022 - Present
ZACKS INVESTMENT MANAGEMENT, INC.
Office #1: 101 N. Wacker Drive Suite 1500, Chicago, IL 60606RIA
CRD#: 110897
CHICAGO, IL
Current
March 17, 2022 - Present
LBMZ SECURITIES, INC.
Office #1: 101 North Wacker Drive Suite 1500, Chicago, IL 60606BD
CRD#: 7874
CHICAGO, IL
Past
November 3, 2016 - March 15, 2022
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WEEHAWKEN, NJ
Past
November 4, 2011 - March 15, 2022
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
ZI
ZACKS INVESTMENT MANAGEMENT, INC.
ZACKS INVESTMENT MANAGEMENT, INC.
CRD#: 110897 / SEC#: 801-40592
RIA
Registered Investment Advisory firm - (1/17/1992 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
Alabama(3/18/2022)
RR
Alaska(3/17/2022)
RR
Arizona(3/17/2022)
RR
Arkansas(3/17/2022)
RR
California(3/17/2022)
RR
Colorado(3/17/2022)
RR
Connecticut(3/17/2022)
RR
Delaware(3/17/2022)
RR
District of Columbia(3/17/2022)
RR
Florida(3/17/2022)
RR
Georgia(3/17/2022)
RR
Hawaii(3/17/2022)
RR
Idaho(3/17/2022)
RR
Illinois(3/17/2022)
RR
Indiana(3/17/2022)
RR
Iowa(3/17/2022)
RR
Kansas(3/17/2022)
RR
Kentucky(3/17/2022)
RR
Louisiana(3/17/2022)
RR
Maine(3/17/2022)
RR
Maryland(3/17/2022)
RR
Massachusetts(3/17/2022)
RR
Michigan(3/17/2022)
RR
Minnesota(3/17/2022)
RR
Mississippi(3/17/2022)
RR
Missouri(3/17/2022)
RR
Montana(3/17/2022)
RR
Nebraska(3/17/2022)
RR
Nevada(3/17/2022)
RR
New Hampshire(3/17/2022)
RR
New Jersey(3/17/2022)
IAR
New Jersey(3/25/2022)
RR
New Mexico(3/17/2022)
RR
New York(3/17/2022)
RR
North Carolina(3/17/2022)
RR
North Dakota(3/17/2022)
RR
Ohio(3/17/2022)
RR
Oklahoma(3/17/2022)
RR
Oregon(3/17/2022)
RR
Pennsylvania(3/17/2022)
RR
Puerto Rico(3/17/2022)
RR
Rhode Island(3/17/2022)
RR
South Carolina(3/17/2022)
RR
South Dakota(3/17/2022)
RR
Tennessee(3/17/2022)
RR
Texas(3/17/2022)
RR
Utah(3/17/2022)
RR
Vermont(3/17/2022)
RR
Virginia(3/17/2022)
RR
Washington(3/17/2022)
RR
West Virginia(3/17/2022)
RR
Wisconsin(3/17/2022)
RR
Wyoming(3/17/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ZI
ZACKS INVESTMENT MANAGEMENT, INC.
ZACKS INVESTMENT MANAGEMENT, INC.
CRD#: 110897 / SEC#: 801-40592
RIA
Registered Investment Advisory firm - (1/17/1992 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
101 N. Wacker Drive Suite 1500, Chicago, IL 60606
Mailing Address
Phone number
(312) 265-9266
Established
Firm type
Fiscal year end
# of Employees
122
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,050 |
| AUM (Assets Under Management) | $ 12,414,372,511 |
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.
