DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Roger Esquibel
Feed of 09/14/2026
Also filed as Roger Esquibel
At current firm
3 y
since Oct 14, 2022
In the industry
26 y
since Sep 13, 2000 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Ameriprise Financial Services, LLC national BD currentsince Oct 14, 2022 · Pueblo, Co
- Edward Jones national BDSep 23, 2013 to Oct 18, 2022 · Pueblo West, Co
- J.P. Morgan Securities LLC wirehouseOct 1, 2012 to Sep 25, 2013 · Manitou Springs, Co
- Chase Investment Services Corp. formerAug 21, 2012 to Oct 1, 2012 · Colorado Springs, Co
- Valic Financial Advisors, Inc. BD affiliatedApr 14, 2010 to Aug 22, 2012 · Lakewood, Co
- Waddell & Reed formerMay 15, 2009 to Apr 12, 2010 · Colorado Springs, Co
- Wells Fargo Advisors wirehouseApr 19, 2007 to May 19, 2009 · Canon City, Co
- U.S. Bancorp Investments, Inc. formerApr 3, 2006 to Apr 9, 2007 · Canon City, Co
Moves
a registration end followed by a registration begin elsewhere
- Edward Jones to Ameriprise Financial Services, LLCleft Oct 18, 2022, registered Oct 14, 2022 (-4 days) · Affiliated broker-dealer or bank to another
- J.P. Morgan Securities LLC to Edward Jonesleft Sep 25, 2013, registered Sep 23, 2013 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- Chase Investment Services Corp. to J.P. Morgan Securities LLCleft Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- Valic Financial Advisors, Inc. to Chase Investment Services Corp.left Aug 22, 2012, registered Aug 21, 2012 (-1 days) · Other
- Waddell & Reed to Valic Financial Advisors, Inc.left Apr 12, 2010, registered Apr 14, 2010 (2 days) · Other
- Wells Fargo Advisors to Waddell & Reedleft May 19, 2009, registered May 15, 2009 (-4 days) · Other
- U.S. Bancorp Investments, Inc. to Wells Fargo Advisorsleft Apr 9, 2007, registered Apr 19, 2007 (10 days) · Other
Signals
- Roger Esquibel left Edward Jones for Ameriprise Financial Services, Llc (registered 2022-10-14)Oct 18, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address