Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephanie? Claim Your ProfileStephanie Esquivel Flores has been in the financial services industry since 2008 and is currently a Registered Representative of SWBC Investment Co. Stephanie has worked at a number of firms including Citigroup Global Markets Inc., Frost Brokerage Services, Inc., and USAA Investment Management Company. Stephanie is a Series 63 and 65 licensed advisor and also holds the Series 7, 9, 10, 24, 52TO, 53, 99TO, and SIE licenses. Stephanie specializes in providing financial planning, portfolio management for individuals and businesses, pension consulting, and selection of other advisors. Stephanie Esquivel Flores is also an Investment Advisor Representative of the affiliated RIA - SWBC Investment Company.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
TX
07/12/2024 - Present
Swbc Investment Co. (SAN ANTONIO TX)
TX
07/20/2021 - 04/18/2024
CITIGROUP GLOBAL MARKETS INC. (San Antonio TX)
TX
05/13/2019 - 06/03/2021
FROST BROKERAGE SERVICES, INC. (SAN ANTONIO TX)
TX
10/21/2014 - 04/25/2019
USAA INVESTMENT MANAGEMENT COMPANY (SAN ANTONIO TX)
TX
06/09/2008 - 09/26/2014
CITIGROUP GLOBAL MARKETS INC. (SAN ANTONIO TX)
IA
Issued 07/12/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/04/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/28/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/03/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/01/2020
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/08/2018
Series 24 - General Securities Principal Examination
BC
Issued 06/13/2024
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/05/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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