Liza Mae Espiritu has been Chief Compliance Officer of RWM Capital since April 2023, is a control person of the firm and directly owns under 5% of it.
RWM Capital, LLC is a Sugar Land, TX firm with $222M under management, 1,439 clients and 21 advisers across 8 offices, as of its August 2026 filing.
No adviser firm registrations are on Liza Mae Espiritu’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 24 April 2016 |
- Name
- Securities Industry Essentials Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- CRD
- 6593089
- Firm
- RWM Capital · CRD 310635
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Liza Mae Espiritu work?
Liza Mae Espiritu has been Chief Compliance Officer of RWM Capital, LLC since April 2023, and is a control person of the firm.
Does Liza Mae Espiritu have a current investment-adviser registration?
Liza Mae Espiritu has no current investment-adviser or broker registration.
What exams has Liza Mae Espiritu passed?
Liza Mae Espiritu passed the Series 6 in April 2016. FINRA credited Liza Mae Espiritu with the SIE, which began in October 2018.
Is Liza Mae Espiritu registered with FINRA?
No. Liza Mae Espiritu has no current broker registration.
How can I verify Liza Mae Espiritu’s record?
Search CRD 6593089 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Liza Mae Espiritu’s full registration record.