Shelbi R. Esparza
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.
Shelbi Rae Esparza, who also goes by Shelbi Rae VIncent, was a registered financial professional .
Shelbi is a previously registered financial professional and started their career in finance in 2018. Shelbi had worked at 2 firms and has passed the Series 66, 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
January 3, 2023 - February 28, 2025
WORLD EQUITY GROUP, INC.
August 19, 2022 - February 28, 2025
WORLD EQUITY GROUP, INC.
March 31, 2021 - August 2, 2022
EDWARD JONES
March 26, 2021 - August 2, 2022
EDWARD JONES
February 13, 2018 - September 6, 2019
EDWARD JONES
January 22, 2018 - September 6, 2019
EDWARD JONES
Primary Firm SEC Registration
WORLD EQUITY GROUP, INC.
CRD#: 29087 / SEC#: 801-56328, 8-44088
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
WORLD EQUITY GROUP, INC.
CRD#: 29087 / SEC#: 801-56328, 8-44088
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
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.
