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Detailed Report
OLIVER GREGORIO ORZAL
OLIVER ORZAL
CRD#: 3217093
IA
Investment Adviser
B
Broker
ESI FINANCIAL ADVISORSCRD#: 265 OAKLAND, CA
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2024 - Present (1 year)BAMERITAS INVESTMENT COMPANY, LLC (CRD# 14869)2006 - 2024 (17 years)BCARILLON INVESTMENTS, INC. (CRD# 14646)2005 - 2006 (<1 year)BPENSION PLANNERS SECURITIES, INC. (CRD# 14068)2003 - 2005 (2 years)BUNITED SECURITIES ALLIANCE, INC. (CRD# 36487)2001 - 2003 (2 years)BWMA SECURITIES, INC. (CRD# 32625)1999 - 2001 (1 year)IAAMERITAS ADVISORY SERVICES, LLC (CRD# 317245)2021 - 2024 (2 years)IAAMERITAS ADVISORY SERVICES (CRD# 14869)2007 - 2021 (14 years)
License(s)

State Registrations

B
Arizona 1/17/2024
B
New York 1/17/2024
B
California 1/17/2024
B
North Carolina 2/29/2024
IA
California 1/17/2024
B
Oregon 1/17/2024
B
Florida 3/5/2025
B
Tennessee 1/17/2024
B
Georgia 4/9/2024
B
Texas 1/17/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ESI FINANCIAL ADVISORS (CRD#:265)
OAKLAND, CA
Registered with this firm since 1/17/2024
B
EQUITY SERVICES, INC. (CRD#:265)
OAKLAND, CA
Registered with this firm since 1/17/2024
Previous Registration(s)
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IA
 11/01/2021 - 01/23/2024 AMERITAS ADVISORY SERVICES, LLC (CRD#:317245) LIVERMORE, CA
B
 06/30/2006 - 01/23/2024 AMERITAS INVESTMENT COMPANY, LLC (CRD#:14869) Livermore, CA
IA
 05/30/2007 - 11/01/2021 AMERITAS ADVISORY SERVICES (CRD#:14869) Livermore, CA
B
 08/31/2005 - 06/30/2006 CARILLON INVESTMENTS, INC. (CRD#:14646) DANVILLE, CA
B
 08/22/2003 - 08/18/2005 PENSION PLANNERS SECURITIES, INC. (CRD#:14068) SACRAMENTO, CA
B
 05/08/2001 - 08/19/2003 UNITED SECURITIES ALLIANCE, INC. (CRD#:36487) GREENWOOD VILLAGE, CO
B
 05/18/1999 - 02/06/2001 WMA SECURITIES, INC. (CRD#:32625) DULUTH, GA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.