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JY

Jesus Hirohito Y. Yamaguchi Esquivel

ASHTON THOMAS PRIVATE WEALTH
Midland, TX 79701
Some features on this profile are disabled
CRD#: 6544916
JY

Professional summary

Jesus Hirohito Yamaguchi Yamaguchi Esquivel, who also goes by Jesus Hirohito Yamaguchi Esquivel, Jesus Hirohito Esquivel, is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Midland, Texas and ASHTON THOMAS SECURITIES, LLC located in Midland, Texas.

Jesus Hirohito is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Jesus Hirohito has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jesus Hirohito Yamaguchi Esquivel | Jesus Hirohito Esquivel

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 Jesus Hirohito Yamaguchi Yamaguchi Esquivel'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

May 28, 2024 - Present

ASHTON THOMAS PRIVATE WEALTH

Office #1: 415 W Wall Street Suite 840, Midland, TX 79701
RIA
CRD#: 153902
Midland, TX
Current

September 9, 2024 - Present

ASHTON THOMAS SECURITIES, LLC

Office #1: 415 W Wall Street Suite 2120, Midland, TX 79701
RIA
BD
CRD#: 16629
Midland, TX
Past

July 7, 2016 - June 7, 2024

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
MIDLAND, TX
Past

February 19, 2016 - June 7, 2024

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
MIDLAND, 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".
AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS

CRD#: 153902 / SEC#: 801-71512

RIA
Registered Investment Advisory firm - (6/15/2010 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
Arkansas
(9/9/2024)
RR
California
(9/9/2024)
RR
Colorado
(9/9/2024)
RR
Florida
(9/9/2024)
RR
Maryland
(9/9/2024)
RR
Michigan
(9/9/2024)
RR
Nevada
(9/9/2024)
RR
Tennessee
(9/9/2024)
IAR
Texas
(5/28/2024)
RR
Texas
(9/9/2024)
RR
Utah
(9/9/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/7/2016
Uniform Combined 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: 2/19/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS

CRD#: 153902 / SEC#: 801-71512

RIA
Registered Investment Advisory firm - (6/15/2010 Approved)
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Contact information

Main Address
8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260
Mailing Address
Phone number
(602) 732-4745
Established
Firm type
Fiscal year end
# of Employees
114

SEC notice filing (35 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, APPENDIX 1 WRAP FEE PROGRAM BROCHURE (5/5/2025)
ADV PART 2A FIRM BROCHURE (5/5/2025)

Regulatory assets under management

Total Number of Accounts6,733
AUM (Assets Under Management)$ 4,051,333,740

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

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902Midland, TX 79701

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