Shaojin Guo
Investment Adviser Representative at ESI Financial Advisors
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Shaojin Guo is an investment adviser representative with ESI Financial Advisors in Irvine, CA, where they have been registered since 2026, the year they entered the securities industry. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in California.
Office
Advisors at this office: 7
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California
- Broker:
1 state or territory
California
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- National LIFE GroupJun 2026 – no end date reportedIrvine, CA
- Equity Services IncJun 2026 – no end date reportedMontpelier, VT
- Morgan StanleyFeb 2025 – Jul 2025Pasadena, CA
- Self EmploymentApr 2026 – Jun 2026Irvine, CA
- A Plus One AacademyNov 2025 – Mar 2026Irvine, CA
- Young ScholarsMar 2025 – Jun 2025San Marino, CA
- T&T SupermarketJan 2025 – Feb 2025Bellevue, CA
- UnemployedAug 2025 – Oct 2025Irvine, CA
- UnemployedJan 2016 – Dec 2024Seattle, WA
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About ESI Financial Advisors
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Hourly
- Fixed fee
- Firm account minimum
- $10,000
- $1 to $1,000,0001.00%
- $1,000,001 to $2,500,0000.75%
- $2,500,001 to $4,999,9990.60%
- $5,000,000 to $10,000,0000.50%
+1 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Broker-dealer and registered investment adviser services for financial professionals, including operations support, compliance collaboration, business development resources, sales and marketing resources, software integration, and advisory services.
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 532
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Montpelier, VT
- Founded:
- 1968
- SEC file number:
- 801-41722
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of July 1, 2026
View full firm profileOther advisors at ESI Financial Advisors
Showing 12 of 532 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Shaojin Guo 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.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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