ESI Financial Advisors

Broker-DealerFINRA MemberEst. 1992

Total AUM

$2.8B

Discretionary

$1.1B

41% of AUM

Accounts

12,379

Employees

500

Advisory reps

768

Brokerage reps

470

Firm details

Headquarters: Montpelier, Vermont
CRD number: 265
Registered since: July 9, 1992
Website: www.equity-services.com
Custodians: NATIONAL FINANCIAL SERVICES LLC, SEI INVESTMENTS DISTRIBUTION CO.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Commissions
Client types: Individuals51.59%
HNWI43.49%
Pension & Profit Sharing Plans3.35%
Corporations / Businesses1.52%
Charitable Organizations0.04%
Services: Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

ESI Financial Advisors is a corporate insurance broker-dealer that combines brokerage and insurance distribution with advisory services for individuals, families and institutional clients. The firm provides financial planning, portfolio management for individuals and small businesses, pension consulting support, selection of other advisers and educational seminars. Its client fees are a mix of percentage-of-assets, hourly and fixed fees, plus commissions tied to brokerage and insurance products. ESI describes itself as an active ESG investor and maintains industry ties with other investment advisers, accounting and law firms, and insurance companies.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Exchange Traded Equities52%
Public Funds/Mutual Funds46%
State & Local Bonds1%
Investment Grade Corp Bonds1%

Owners & executives

3 of 19

Derek Ng
Founder & CEOCRD 2859877
Ian Andrew Mckenny
Chief CounselCRD 5352951
Michael Seeley
President, CEO and Financial AdvisorCRD 4163236

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Contacts

3 of 749

Jerome Pasichow
Financial AdvisorCRD 2863625
Michelle Haass
Registered RepresentativeCRD 3208380
Robert Ricciardelli
Registered Representative and Investment Adviser RepresentativeCRD 3243452