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Christopher Vargas

Esi Financial Advisors
21 Years of Experience
Hauppauge, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
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Christopher Vargas is a registered investment advisor at Esi Financial Advisors, based in Hauppauge, NY, with 21 years of industry experience. Christopher is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 12,379 clients with $2.8B in assets under management.

Esi Financial Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
536 advisors
Number of Clients
12,379 clients
Average Client Portfolio
$224K average
Assets Under Management
$2.8B

Fee Structure

Minimum Investment:$10K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.00%
$1.0M - $2.5M0.75%
$2.5M - $5.0M0.60%
$5.0M - $10.0M0.50%
$10M+0.35%

Rates reflect the primary schedule used in programs like American Funds and Schwab Retirement Advisor Services. Other programs have different maximum fees (AssetMark up to 1.50%, Saratoga up to 2.00%, SEI up to 1.75% plus 0.05% administrative fee). Actual fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

410 Motor Parkway, 2nd Floor, Hauppauge, NY, 11788

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2026
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Christopher sells fixed insurance products, including life, health, disability, and long-term care insurance, through United Financial Alliance, dedicating about 10-20% of his time. He also uses several business names (Teachers, Atlas, Officer's, Nurse's, and Voluntary Benefits Advisor) to market financial planning to specific groups, acting as President/Founder for some of these.

Employment History
Current Registrations
Esi Financial Advisors
September 2024 - Present · 2 yrs 1 mo
Equity Services, INC.Broker
September 2024 - Present · 2 yrs 1 mo
Previous Registrations
MML Investors Services, LLC
June 2021 - September 2024 · 3 yrs 3 mos
MML Investors Services, LLCBroker
March 2017 - September 2024 · 7 yrs 6 mos
Msi Financial Services, INC.Broker
December 2004 - March 2017 · 12 yrs 3 mos
Metropolitan Life Insurance CompanyBroker
December 2004 - July 2007 · 2 yrs 7 mos
State Registrations4 states
DEFLNJNY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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