Erika A. Esquivel
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.
Erika A Esquivel, who also goes by Erika Andrea Esquivel, Erika A Rojas, Erika Andrea Rojas, Erika Andrea Rojas Huertas, Erika A Rojashuertas, was a registered financial professional .
Erika is a previously registered financial professional and started their career in finance in 2015. Erika had worked at 6 firms and has passed the Series 66, Series 7TO, SIE 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
July 18, 2023 - February 13, 2025
EMPOWER ADVISORY GROUP, LLC
July 3, 2023 - February 13, 2025
EMPOWER FINANCIAL SERVICES, INC.
September 1, 2022 - May 12, 2023
EMPOWER ADVISORY GROUP, LLC
August 17, 2022 - May 12, 2023
EMPOWER FINANCIAL SERVICES, INC.
January 31, 2018 - November 10, 2020
TRANSAMERICA RETIREMENT ADVISORS, LLC
January 25, 2018 - November 10, 2020
TRANSAMERICA INVESTORS SECURITIES, LLC
December 1, 2015 - September 26, 2017
WELLS FARGO CLEARING SERVICES, LLC
November 25, 2015 - September 26, 2017
WELLS FARGO CLEARING SERVICES, LLC
May 26, 2015 - August 14, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 10, 2015 - August 14, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
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
Series 7TO
Date: 3/12/2022
General Securities Representative ExaminationCurrent Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
