Samuel Michael Audy
Investment adviser representative at Esi Financial Advisors
12 yearsExperience
1 stateRegistered in
$2.8BFirm assets
34 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 feeCommissions
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.
- Equity Services, Inc.Jul 2024 to now
- National Life GroupMay 2024 to now
- The Tranel Financial GroupJul 2023 to Feb 2024
- A&a Custom WearMay 2023 to Aug 2023
- North Star Investment Management CorporationMay 2022 to Aug 2022
- North Star Investment Management CorporationMay 2021 to Aug 2021
- Indiana UniversityAug 2019 to May 2023
- St. Andrews Country ClubMay 2014 to Aug 2019
Exams passed
- Series 65 · Uniform Investment Adviser Law2024
- Series 63 · Uniform Securities Agent State Law2024
State registrations
Registered as an investment adviser representative in 1 state (IL).
Esi Financial Advisors
Legal name: Equity Services, Inc.
$2.8BAssets managed
12,379Clients
504Advisers
34 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
- 7788242
- Firm CRD
- 265