Cory M. Esposito

A4 WEALTH ADVISORS LLC

Huntersville, NC 28078

Some features on this profile are disabled

CRD#: 6978024

Professional summary

Cory Michael Esposito is a registered financial advisor currently at A4 WEALTH ADVISORS LLC located in Huntersville, North Carolina.

Cory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Cory 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cory Michael Esposito'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

August 15, 2025 - Present

A4 WEALTH ADVISORS LLC

Office #1: 16140 Northcross Drive, Huntersville, NC 28078

RIA

CRD#: 152397

Huntersville, NC

Past

November 13, 2020 - September 8, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

November 13, 2020 - September 8, 2025

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

October 15, 2018 - November 17, 2020

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CHARLOTTE, NC

Past

September 24, 2018 - November 17, 2020

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CHARLOTTE, NC

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".

A4 WEALTH ADVISORS LLC

A4 WEALTH ADVISORS LLC | A4 WEALTH MANAGEMENT INC.

CRD#: 152397 / SEC#: 801-125825

RIA

Registered Investment Advisory firm - (6/6/2022 Approved)

North Carolina

Registered Investment Advisory firm - (7/19/2022 Terminated)

South Carolina

Registered Investment Advisory firm - (7/14/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(8/15/2025)

IAR

Texas
(8/15/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/15/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/2018

General Securities Representative Examination

Current Firm

A4 WEALTH ADVISORS LLC

A4 WEALTH ADVISORS LLC | A4 WEALTH MANAGEMENT INC.

CRD#: 152397 / SEC#: 801-125825

RIA

Registered Investment Advisory firm - (6/6/2022 Approved)

North Carolina

Registered Investment Advisory firm - (7/19/2022 Terminated)

South Carolina

Registered Investment Advisory firm - (7/14/2022 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

16140 Northcross Drive, Huntersville, NC 28078

Mailing Address

Phone number

(704) 509-1141

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 SEC (8/15/2025)

Regulatory assets under management

Total Number of Accounts	1,279
AUM (Assets Under Management)	$ 190,017,896

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.

Similar Advisors

David Thompson

SPARTA WEALTH PARTNERS

IAR

CHARLOTTE, NC

Jon Hoyle

INNOVATION PARTNERS LLC

Charlotte, NC

Andrew Digirolamo

PFS INVESTMENTS INC.

Charlotte, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Cory M. Esposito

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cory Michael Esposito's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

A4 WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/15/2018

SIE

Date: 10/1/2018

Series 7

Date: 9/24/2018

Current Firm

A4 WEALTH ADVISORS LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

A4 WEALTH ADVISORS LLC

TRUST BUT VERIFY

Similar Advisors