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Omar Guadalupe Esparza

Voya Financial Advisors, Inc.

Saginaw, TX

Houston, TX

CRD 4247572

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Employer firm

Voya Financial Advisors, Inc. CRD 2882

$3.87B regulatory AUM 120 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Voya Financial Advisors, Inc.

One Orange Way, Windsor, CT 06095 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2013-11-27
  • TX RA
    APPROVED
    Since 2013-11-27

Branch Locations

Saginaw, TX • United States

24 Greenway Plaza Suite 1725, Houston, TX 77046 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Voya Financial Advisors Houston TX 09/2014 Present
  • 09/2014 → Present
    Voya Financial Advisors
    Houston, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-01-27
S63 Uniform Securities Agent State Law Examination 2005-07-02
  • S66 Uniform Combined State Law Examination
    2006-01-27
  • S63 Uniform Securities Agent State Law Examination
    2005-07-02
Other Names
  • Omar G Esparza

View on SEC IAPD

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