Cory Esposito has been an investment adviser representative at A4 Wealth Advisors since August 2025, and is not listed among the firm’s executive officers or direct owners.
A4 Wealth Advisors LLC is a Huntersville, NC firm with $214M under management, 587 clients and 7 advisers in one office, as of its September 2026 filing.
Cory Esposito is an Investment Advisor Representative of A4 Wealth Advisors, LLC. Before joining the firm, he spent time with UBS Financial Services and LPL Financial, where he developed a specialization in comprehensive retirement planning and investment portfolio management. He partners with individuals, families, and business owners to design financial strategies.
Cory Esposito’s longest registration was 4 years at LPL Financial LLC (2020–2025). Before joining A4 Wealth Advisors in 2025, Cory Esposito was registered through LPL Financial LLC and UBS Financial Services Inc.
- A4 Wealth Advisors LLCCurrent– present · 1 yearHuntersville, NC · Adviser representative · Firm CRD 152397
- LPL Financial LLC– · 4 yearsFort Mill, SC · Adviser representative · Firm CRD 6413
- UBS Financial Services Inc.– · 2 yearsCharlotte, NC · Adviser representative · Firm CRD 8174
Professional designations
Listed by A4 Wealth Advisors
- CHARTERED RETIREMENT PLANNING COUNSELOR®
- CERTIFIED FINANCIAL PLANNER®
Investment adviser representative registrations
Cory Esposito is registered as an investment adviser representative in 2 states. Each was approved in August 2025.
- North CarolinaSince 15 August 2025
- TexasSince 15 August 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 15 October 2018 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 24 September 2018 |
- Name
- Uniform Combined State Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Full name
- Cory Michael Esposito
- CRD
- 6978024
- Firm
- A4 Wealth Advisors · CRD 152397
- Office
- 16140 NORTHCROSS DRIVE, Huntersville, NC 28078
- Registration
- Investment adviser registration
- In the industry since
- September 2018
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- a4wealth.com
Where does Cory Esposito work?
Cory Esposito is an investment adviser representative registered through A4 Wealth Advisors LLC since August 2025, and is not listed among the firm’s executive officers or direct owners.
Is Cory Esposito a financial advisor?
Yes. Cory Esposito has a current investment-adviser registration in North Carolina and Texas, through A4 Wealth Advisors since August 2025.
How many years of experience does Cory Esposito have?
Cory Esposito has 8 years in the financial industry, since September 2018, across 3 adviser firms.
What exams has Cory Esposito passed?
Cory Esposito has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in September 2018. FINRA credited Cory Esposito with the SIE, which began in October 2018.
Where did Cory Esposito work before A4 Wealth Advisors?
Before A4 Wealth Advisors, Cory Esposito was registered through UBS Financial Services Inc., October 2018 to November 2020.
Where is Cory Esposito based?
Cory Esposito’s registered office is in Huntersville, NC.
Is Cory Esposito registered with FINRA?
No. Cory Esposito has no current broker registration.
Is Cory Esposito a CFP?
A4 Wealth Advisors lists Cory Esposito with the CFP credential (“CERTIFIED FINANCIAL PLANNER®”) on its website. CFP Board confirms certification status.
How can I verify Cory Esposito’s record?
Search CRD 6978024 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Cory Esposito’s full registration record.
