Esther Aw, financial advisor Sacramento CA
83 score

Esther Aw

CRD Number: 3009955
Current Firm: Eagle Strategies LLC

Esther Aw (CRD# 3009955) is an Investment Advisor Representative working at Eagle Strategies LLC in Sacramento, CA and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Ema Financial & Insurance Services Sacramento, CA Sep 2009 - Current 7
Nylife Securities Inc. Roseville, CA Jan 1998 - Current 18
New York Life Ins. Company Roseville, CA Dec 1997 - Current 19
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1998
S66 NASAA Uniform Combined State Law Examination Sep 2001
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Esther M. Aw
Phone Number: (888) 695-3245
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    5,154
    MILLIONS
  • Total Number of Accounts
    29,837
    ACCOUNTS
  • Average Account Value
    $172,747
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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