Natalia Esparza-mendoza
Professional summary
Natalia Esparza-mendoza is a registered financial professional currently at SCHRODER FUND ADVISORS LLC located in New York, New York.
Natalia is registered as a RR (Registered Representative) and started their career in finance in 2025. Natalia has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Natalia Esparza-mendoza's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 19, 2025 - Present
SCHRODER FUND ADVISORS LLC
Office #1: 7 Bryant Park, New York, NY 10018-3706State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/28/2025)
(5/19/2025)
(5/19/2025)
(10/28/2025)
Exams
Series 7TO
Date: 5/19/2025
General Securities Representative ExaminationFINRA
Current Firm
SCHRODER FUND ADVISORS LLC
CRD#: 24129 / SEC#: , 8-40973
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC. | DIRECT OWNER | |
| FORTINO, ROBERT ANTHONY | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 1905741 |
| LANIER, ANGEL | ASSISTANT SECRETARY | 6772355 |
| LOWE, RICHARD JOHN | BOARD MEMBER | 7060365 |
| MARSHALL, DAVID JAMES | AUTHORIZED SIGNATORY | 3070206 |
| MAZZA, CATHERINE ANDREA | PRESIDENT, CHAIR, BOARD MEMBER | 1444025 |
| MUHLBAUM, CARIN FANNY | SECRETARY | 3198495 |
| PATNAIK, SHANAK | CHIEF COMPLIANCE OFFICER | 6184296 |
| SAUER, WILLIAM PETER | BOARD MEMBER | 1622322 |
Red Flags
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