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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Esaul Guerrero

Advisor at EDWARD JONES

MODESTO, CA

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Search this name across graphsid dfx:ria:3bb7a459-9b52-220d-3970-0be19b67adad

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 24, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: EDWARD JONES
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 21, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Oct 21, 2005
First registration: Oct 24, 2005
Dual registered: yes, broker-dealer
Other names: ESAUL GUERRERO|ESAUL GUERRERO|ESSAUL GUERRERO
IAPD individual key: 5022679

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
EDWARD JONES	National bd RIA	Mar 11, 2011	n/a	yes	MODESTO, CA	Current employment
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	May 8, 2009	Mar 9, 2011	no	SACRAMENTO, CA\|SACRAMENTO, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 18, 2008	Feb 12, 2009	no	MODESTO, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 29, 2007	Feb 4, 2008	no	NAPA, CA\|TRACY, CA	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Oct 19, 2006	May 29, 2007	no	TRACY, CA	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Oct 24, 2005	Sep 27, 2006	no	MODESTO, CA\|MODESTO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
U.S. BANCORP ADVISORS, LLC	EDWARD JONES	Mar 9, 2011	Mar 11, 2011	2	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	U.S. BANCORP ADVISORS, LLC	Feb 12, 2009	May 8, 2009	85	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Feb 4, 2008	Mar 18, 2008	43	Firm change	Other
CITICORP INVESTMENT SERVICES	CITIGROUP GLOBAL MARKETS INC.	May 29, 2007	May 29, 2007	0	Bulk transfer	Other
A. G. EDWARDS & SONS, INC.	CITICORP INVESTMENT SERVICES	Sep 27, 2006	Oct 19, 2006	22	Firm change	Other

Relationships

Registered with (6)

→ EDWARD JONESRegistered adviserregistration: current employment
Mar 11, 2011 to presentfactForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
May 8, 2009 to Mar 9, 2011factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 18, 2008 to Feb 12, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 29, 2007 to Feb 4, 2008factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Oct 19, 2006 to May 29, 2007factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Oct 24, 2005 to Sep 27, 2006factForm ADV

Dated events

No dated event names this entity yet.