Catherine Elizabeth Esparza
Investment adviser representative at Vanguard Advisers, Inc.
15 yearsExperience
2 statesRegistered in
$344.6BFirm assets
31 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 assetsFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
Experience
15 years in the industry.
- Vanguard Advisers, Inc.Jun 2026 to now
- The Vanguard Group, Inc.Jun 2026 to now
- Vanguard Marketing CorporationJun 2026 to now
- Wells Fargo Bank, N.A.Jun 2022 to May 2026
- Wells Fargo Clearing Services, LLCJun 2022 to May 2026
- J.P. Morgan Securities LLCOct 2012 to Jun 2022
- J.P. Morgan Chase Bank, NAApr 2011 to Jun 2022
Exams passed
- Series 63 · Uniform Securities Agent State Law2012
- Series 66 · Uniform Combined State Law2015
State registrations
Registered as an investment adviser representative in 2 states (AZ, TX).
Vanguard Advisers, Inc.
$344.6BAssets managed
791,528Clients
2,464Advisers
31 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
- 6055114
- Firm CRD
- 106715