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ANDREW LOUIS ESPOSTO
Andrew Esposto
CRD#: 5742395
IA
B
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 SAN FRANCISCO, CA
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 SAN FRANCISCO, CA
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Disclosures
14
Years of Experience
View By:
State Registrations
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Arizona 3/25/2023
B
Nevada 12/2/2020
B
California 4/29/2019
B
New Hampshire 12/2/2020
IA
California 5/2/2019
B
New Jersey 12/2/2020
B
Colorado 12/2/2020
B
New Mexico 3/4/2022
B
Connecticut 12/2/2020
B
New York 12/2/2020
B
Florida 8/8/2020
B
Ohio 7/24/2023
B
Georgia 3/4/2022
B
Oregon 12/2/2020
B
Idaho 12/2/2020
B
Pennsylvania 12/2/2020
B
Illinois 11/4/2019
B
Rhode Island 12/2/2020
B
Indiana 12/2/2020
B
Texas 11/4/2019
B
Louisiana 12/2/2020
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Texas 12/12/2019
B
Maine 12/2/2020
B
Virgin Islands 10/8/2021
B
Maryland 11/4/2019
B
Virginia 12/2/2020
B
Massachusetts 4/23/2020
B
Washington 12/2/2020
B
Michigan 11/4/2019
B
Wisconsin 4/23/2020
B
Minnesota 1/19/2024
B
Wyoming 3/25/2023
B
Missouri 10/8/2021
SRO Registrations
B
B
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Registered with this firm since 5/2/2019
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Registered with this firm since 4/29/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/28/2013 - 03/04/2019 | San Francisco, CA | |
B | 08/28/2013 - 03/04/2019 | San Francisco, CA | |
IA | 01/03/2011 - 08/06/2013 | SAN MATEO, CA | |
B | 01/03/2011 - 08/06/2013 | SAN MATEO, CA | |
IA | 03/12/2010 - 01/03/2011 | SAN FRANCISCO, CA | |
B | 02/18/2010 - 01/03/2011 | SAN FRANCISCO, CA |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.