Richard Esposito

Employer firm

Spc CRD 110692

$6.10B regulatory AUM 4,483 advisory clients

Reported services (Item 5G)

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

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2014 → 02/2020
  Guardian Life Ins
  Farmington, CT
• 01/2015 → 01/2020
  Park Avenue Securities
  Farmington, CT
• 01/2020 → 11/2021
  Allstate Insurance Co
  Rocky Hill, CT
• 10/2021 → 06/2022
  New York Life Insurance Co
  Windsor, CT
• 12/2021 → 06/2022
  Nylife Securities Llc
  Windsor, CT
• 02/2022 → 06/2022
  Eagle Strategies Llc
  Windsor, CT
• 05/2025 → Present
  Parkland Securities, Llc
  Ann Arbor, MI
• 04/2022 → 05/2024
  Yale University
  New Haven, CT
• 07/2024 → Present
  Assumption University
  Worcester, MA

Previous Registrations

• 2022-02-15 → 2022-06-15
  Eagle Strategies Llc
  Windsor, CT
• 2020-01-29 → 2021-11-24
  Allstate Financial Advisors, Llc
  Rocky Hill, CT
• 2015-03-06 → 2020-01-30
  Park Avenue Securities Llc
  Farmington, CT
• 2012-05-21 → 2012-08-24
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Hartford, CT
  Glastonbury, CT

Other Businesses

1. Sale of non-variable insurance products including life, health and fixed annuities, through various insurance providers. Annuity sales conducted through firm-approved FMOs. Start date: 9/5/25, approx. 2 hrs/mo. INV REL: Y 2. Gift Officer - Assumption University, Worcester, MA. Duties include fundraising by meeting with alumni and donors to secure charitable gifts for the University. Start date: 9/5/25, approx. 60 hrs/mo, none during mkt hrs. INV REL: N 3. Elected Official - Board of Finance - East Haven, CT. Responsibilities include authorizing department transfer requests and advise on budgetary recommendations. No access to funds in this role. Start date: 11/18/23. INV REL: N

Exams

• S66 Uniform Combined State Law Examination
  2012-05-19

Other Names

• Rich Esposito