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Alberto Esparza

Investment Adviser Representative at IP FINANCIAL ADVISORY SERVICES LLC

CHARLOTTE, NCCRD #4107024Investment Adviser Rep
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
26 yrs
States Registered
7 states
Exams Passed
5

Registrations & licenses

Registration type
Investment Adviser Rep
Registered in 7 states
ArizonaCaliforniaGeorgiaIllinoisIndianaTexasWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 10/12/2010
Series 63
Uniform Securities Agent State Law Examination
Passed 6/13/2000
Series 26
Investment Company Products/Variable Contracts Principal Examination
Passed 6/19/2000
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 3/17/2000

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

IP FINANCIAL ADVISORY SERVICES LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

INNOVATION PARTNERS LLCCurrent
9/11/2025 – CHARLOTTE, NC
WORLD GROUP SECURITIES, INC.
4/12/2002 – 1/6/2012OAK BROOK, IL
WMA SECURITIES, INC.
3/20/2000 – 4/12/2002DULUTH, GA
TRANSAMERICA FINANCIAL ADVISORS, LLC
1/6/2012 – 9/9/2025Downers Grove, IL

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Alberto Esparza has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.