Andrew Gentiluomo: $200K Complaint Against Equity Services Advisor

A recent investor complaint against Roanoke, Virginia financial advisor Andrew Gentiluomo (CRD# 4975462) alleges that he committed fraud in connection with certain investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Equity Services and an investment advisor with ESI Financial Advisors, doing business as Gentiluomo FA.

Mr. Gentiluomo’s BrokerCheck report discloses one investor complaint. Filed in May 2024, it alleges that as a representative of Equity Services, he committed fraud, breached his fiduciary duty, and engaged in conspiracy in connection with the recommendation of investments in “two LLCs.” The pending complaint alleges damages of $200,000.

Gentiluomo FA’s website includes a profile of Mr. Gentiluomo that describes his background and experience. “Prior to becoming a Financial Consultant, Andrew served as a Business Development Executive for The Egg Factory, LLC, a technology research and development firm,” it explains. “He is also credited with founding a successful e-commerce business and managing the international side of a $40 million packaging firm with clients in Asia, Europe and Latin America.”

Elsewhere on the website, he describes his own approach to working with his clients. “I am a full-service advanced financial strategist & advisor committed to helping people pursue their financial goals by offering a wide range of financial products and services to individuals and business owners,” he writes. “I believe you will be far better equipped to identify financial goals, and make sound decisions towards reaching them, when adequately educated and informed.”

According to the Financial Industry Regulatory Authority, Andrew Gentiluomo holds 18 years of securities industry experience. Based in Roanoke, Virginia, he has been registered as a broker with Equity Services and an investment advisor with ESI Financial Advisors since 2010. His past registrations include AXA Advisors. His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Arizona, California, Colorado, Illinois, Indiana, Kentucky, Maine, Maryland, Massachusetts, New Jersey, New York, North Carolina, Oregon, Tennessee, Virginia, Washington, and West Virginia. (Information current as of June 16, 2024.)

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