FE
Felipe Esguerra
SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC
New York, NY 10171
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CRD#: 6190543
FE
Professional summary
Felipe Esguerra is a registered financial professional currently at SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC located in New York, New York.
Felipe is registered as a RR (Registered Representative) and started their career in finance in 2013. Felipe has worked at 3 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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) - BD
Click below to view Felipe Esguerra'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
October 31, 2023 - Present
SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC
Office #1: 299 Park Ave. 33rd Floor, New York, NY 10171BD
CRD#: 170062
New York, NY
Past
May 3, 2017 - September 25, 2023
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
NEW YORK, NY
Past
May 24, 2013 - January 31, 2017
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(10/31/2023)
RR
Alaska(10/31/2023)
RR
Arizona(10/31/2023)
RR
Arkansas(10/31/2023)
RR
California(10/31/2023)
RR
Colorado(10/31/2023)
RR
Connecticut(10/31/2023)
RR
Delaware(10/31/2023)
RR
District of Columbia(10/31/2023)
RR
Florida(10/31/2023)
RR
Georgia(10/31/2023)
RR
Hawaii(10/31/2023)
RR
Idaho(10/31/2023)
RR
Illinois(10/31/2023)
RR
Indiana(10/31/2023)
RR
Iowa(10/31/2023)
RR
Kansas(10/31/2023)
RR
Kentucky(10/31/2023)
RR
Louisiana(10/31/2023)
RR
Maine(10/31/2023)
RR
Maryland(10/31/2023)
RR
Massachusetts(10/31/2023)
RR
Michigan(10/31/2023)
RR
Minnesota(10/31/2023)
RR
Mississippi(10/31/2023)
RR
Missouri(10/31/2023)
RR
Montana(10/31/2023)
RR
Nebraska(10/31/2023)
RR
Nevada(10/31/2023)
RR
New Hampshire(10/31/2023)
RR
New Jersey(10/31/2023)
RR
New Mexico(10/31/2023)
RR
New York(10/31/2023)
RR
North Carolina(11/1/2023)
RR
North Dakota(10/31/2023)
RR
Ohio(11/9/2023)
RR
Oklahoma(10/31/2023)
RR
Oregon(10/31/2023)
RR
Pennsylvania(10/31/2023)
RR
Rhode Island(10/31/2023)
RR
South Carolina(10/31/2023)
RR
South Dakota(10/31/2023)
RR
Tennessee(10/31/2023)
RR
Texas(10/31/2023)
RR
Utah(10/31/2023)
RR
Vermont(10/31/2023)
RR
Virgin Islands(10/31/2023)
RR
Virginia(10/31/2023)
RR
Washington(10/31/2023)
RR
West Virginia(10/31/2023)
RR
Wisconsin(10/31/2023)
RR
Wyoming(10/31/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SL
SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC
BKUS CAPITAL LLC | SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC | REALFUND CAPITAL LLC | EDGEMOOR PARTNERS LLC
CRD#: 170062 / SEC#: , 8-69407
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
96 Worcester Street, Wellesley Hills, MA 02481
Mailing Address
96 Worcester Street, Wellesley Hills, MA 02481
Phone number
(774) 217-3429
Established
Delaware since 10/11/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
