OMAR GUADALUPE ESPARZA - Investment Adviser at VOYA FINANCIAL ADVISORS, INC.

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Detailed ReportReport

OMAR GUADALUPE ESPARZA

OMAR G ESPARZA

CRD#: 4247572

Investment Adviser

Broker

VOYA FINANCIAL ADVISORS, INC.CRD#: 2882

2925 RICHMOND AVE SUITE 1200
HOUSTON, TX 77098

Disclosures

Disclosures

0 Disclosures

Registration History

License(s)

State Registrations

Texas 6/6/2013

Texas 11/27/2013

SRO Registrations

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)

VOYA FINANCIAL ADVISORS, INC. (CRD#:2882)

2925 RICHMOND AVE SUITE 1200, HOUSTON, TX 77098

SAGINAW, TX

Registered with this firm since 11/27/2013

VOYA FINANCIAL ADVISORS, INC. (CRD#:2882)

2925 RICHMOND AVE SUITE 1200, HOUSTON, TX 77098

SAGINAW, TX

Registered with this firm since 6/6/2013

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	01/03/2011 - 01/31/2012	ING FINANCIAL PARTNERS, INC (CRD#:2882)	ADDISON, TX
B	01/03/2011 - 01/31/2012	ING FINANCIAL PARTNERS, INC. (CRD#:2882)	ADDISON, TX
IA	11/09/2010 - 01/03/2011	ING FINANCIAL ADVISERS, LLC (CRD#:34815)	ADDISON, TX
B	07/07/2010 - 01/03/2011	ING FINANCIAL ADVISERS, LLC (CRD#:34815)	ADDISON, TX
IA	01/30/2006 - 12/02/2008	PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137)	FORT WORTH, TX
B	06/27/2005 - 12/02/2008	PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137)	FORT WORTH, TX

ING FINANCIAL PARTNERS, INC (CRD#:2882)

ADDISON, TX

01/03/2011 - 01/31/2012

ING FINANCIAL PARTNERS, INC. (CRD#:2882)

ADDISON, TX

01/03/2011 - 01/31/2012

ING FINANCIAL ADVISERS, LLC (CRD#:34815)

ADDISON, TX

11/09/2010 - 01/03/2011

ING FINANCIAL ADVISERS, LLC (CRD#:34815)

ADDISON, TX

07/07/2010 - 01/03/2011

PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137)

FORT WORTH, TX

01/30/2006 - 12/02/2008

PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137)

FORT WORTH, TX

06/27/2005 - 12/02/2008

For additional information about investment advisers or broker-dealers, please visit

www.investor.gov

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.

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.