Richard Esposito
Investment adviser representative at Spc
12 yearsExperience
1 stateRegistered in
$6.1BFirm assets
42 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
12 years in the industry.
- SpcMay 2025 to now
- Parkland Securities, LLCMay 2025 to now
- Assumption UniversityJul 2024 to now
- Yale UniversityApr 2022 to May 2024
- Eagle Strategies LLCFeb 2022 to Jun 2022
- Nylife Securities LLCDec 2021 to Jun 2022
- New York Life Insurance CoOct 2021 to Jun 2022
- Allstate Insurance CoJan 2020 to Nov 2021
- Park Avenue SecuritiesJan 2015 to Jan 2020
- Guardian Life InsNov 2014 to Feb 2020
Exams passed
- Series 66 · Uniform Combined State Law2012
State registrations
Registered as an investment adviser representative in 1 state (CT).
Spc
Legal name: Sigma Planning Corporation
$6.1BAssets managed
30,916Clients
474Advisers
42 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5996142
- Firm CRD
- 110692