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CATHERINE ELIZABETH ESPARZA
CATHERINE E ESPARZA, CATHY E ESPARZA, CATHY ESPARZA, Catherine Esparza, CATHERINE E TEJEDA…
CRD#: 6055114
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 10921 N SCOTTSDALE RD
SCOTTSDALE, AZ 85254
Registration History
201220142016201820202022202420262 FIRMS2022 - Present (2 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2022 (9 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2012 - 2012 (<1 year)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2015 - 2022 (6 years)
Disclosure(s)
View By:
9/16/2015
Financial
Final
License(s)

State Registrations

B
Arizona 7/11/2022

B
Minnesota 1/3/2025

IA
Arizona 7/12/2022

B
Virginia 7/31/2023

IA
California 7/11/2022

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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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
WELLS FARGO ADVISORS (CRD#:19616)
10921 N SCOTTSDALE RD, SCOTTSDALE, AZ 85254
Registered with this firm since 7/11/2022

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
10921 N SCOTTSDALE RD, SCOTTSDALE, AZ 85254
Registered with this firm since 7/11/2022

Previous Registration(s)
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IA
12/01/2015 - 06/16/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) SCOTTSDALE, AZ
B
10/01/2012 - 06/16/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) SCOTTSDALE, AZ
B
05/14/2012 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) PALM DESERT, CA
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Broker
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Investment Adviser
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.