Stephanie Esquivel Flores

Swbc Investment Company

17 Years of Experience

Broker

View SEC Summary

Areas of Practice

Investment Management

Swbc Investment Company

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

14 advisors

Number of Clients

406 clients

Average Client Portfolio

$565K average

Assets Under Management

$229.2M

Fee Structure

Minimum Investment:$50K

Financial Planning:Investment management only

Location

9311 San Pedro Avenue, Suite 600, San Antonio, TX, 78216-4459

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History

Regulatory History

Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Other Business Activities

Stephanie is an Investment Advisor Representative of SWBC Investment Company.

Employment History

Current Registrations

Swbc Investment Company

July 2024 - Present · 1 yr 7 mos

Swbc Investment Services, LLCBroker

April 2024 - Present · 1 yr 10 mos

Previous Registrations

Citigroup Global Markets INC.Broker

July 2021 - April 2024 · 2 yrs 9 mos

Frost Brokerage Services, INC.Broker

May 2019 - June 2021 · 2 yrs 1 mo

USAA Investment Management CompanyBroker

October 2014 - April 2019 · 4 yrs 6 mos

Citigroup Global Markets INC.Broker

June 2008 - September 2014 · 6 yrs 3 mos

State Registrations1 state

AdvisorBrokerBoth

Exams

No exam information available for this advisor.