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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

LOUIS DAVID ESPOSITO

Advisor at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

SCOTTSDALE, AZ | BRICK, NJ

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Search this name across graphsid dfx:ria:dfdc915f-74ab-bd25-7d2c-24a596839ba5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Sep 12, 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: UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 3, 2005
First registration: Sep 12, 2005
Dual registered: yes, broker-dealer
Other names: LEE DAVID ESPOSITO
IAPD individual key: 4970538

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
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	Independent wealth	Jan 5, 2026	n/a	yes	BRICK, NJ\|SCOTTSDALE, AZ	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 10, 2025	Jan 8, 2026	no	BRICK, NJ	Previous registration
CADARET GRANT & CO INC	Former SEC adviser	May 18, 2023	Jul 10, 2025	no	Little Silver, NJ\|Brick, NJ\|Syracuse, NY	Previous registration
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	Apr 8, 2010	May 19, 2023	no	MENDHAM, NJ\|WEXFORD, PA\|BRICK, NJ	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Jun 16, 2008	Nov 11, 2009	no	CHATHAM, NJ\|MORRISTOWN, NJ\|SUMMIT, NJ\|WOODBRIDGE, NJ	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Sep 12, 2005	Jun 3, 2008	no	NEW BRUNSWICK, NJ\|MORRISTOWN, NJ\|SHORT HILLS, NJ\|MORRISTOWN, NJ	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
LPL FINANCIAL LLC	UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	Jan 8, 2026	Jan 5, 2026	-3	Firm change	Ibd to RIA
CADARET GRANT & CO INC	LPL FINANCIAL LLC	Jul 10, 2025	Jul 10, 2025	0	Bulk transfer	Ibd to ibd
WOODBURY FINANCIAL SERVICES, INC.	CADARET GRANT & CO INC	May 19, 2023	May 18, 2023	-1	Firm change	Ibd to ibd
HSBC SECURITIES (USA) INC.	WOODBURY FINANCIAL SERVICES, INC.	Nov 11, 2009	Apr 8, 2010	148	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	HSBC SECURITIES (USA) INC.	Jun 3, 2008	Jun 16, 2008	13	Firm change	Other

Relationships

Registered with (6)

→ UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNERRegistered adviserregistration: current employment
Jan 5, 2026 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 10, 2025 to Jan 8, 2026factForm ADV
→ CADARET GRANT & CO INCRegistered adviserregistration: previous registration
May 18, 2023 to Jul 10, 2025factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Apr 8, 2010 to May 19, 2023factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Jun 16, 2008 to Nov 11, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Sep 12, 2005 to Jun 3, 2008factForm ADV

Dated events

Occurred
Jan 8, 2026
Advisor changed firm
Louis David Esposito left Lpl Financial Llc for United Planners' Financial Services Of America A Limited Partner (registered 2026-01-05)
Form ADVobserved 5 days ago
Occurred
May 19, 2023
Advisor changed firm
Louis David Esposito left Woodbury Financial Services, Inc. for Cadaret Grant & Co Inc (registered 2023-05-18)
Form ADVobserved 5 days ago