ESSEX FINANCIAL SERVICES, INC. of ESSEX, CT is an SEC-registered investment adviser (CRD 127549). Regulatory assets under management: $4.2B.
Showing 25 of 51 people.
| Name | Role | Location |
|---|---|---|
| Paul Douglas | CHAIRMAN | Oak Brook, IL |
| Nelson W Clark | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER, TREASURER; CHIEF OPERATING OFFICER, TREASURER, SECRETARY (+1 more) | Pilot Mountain, NC |
| Paul Phillipe Williams | CHAIRMAN | LITTLE ELM, TX |
| Jennifer Carly Krakower | CHIEF COMPLIANCE OFFICER | — |
| Douglas Williams Paul | CHAIRMAN | — |
| Bruce Michael Glowac | DIRECTOR | — |
| Ronald Clark Nelson | DIRECTOR | — |
| Charles Robert Cumello | PRESIDENT & CHIEF EXECUTIVE OFFICER, DIRECTOR | — |
| Mary Emelia Boone | DIRECTOR | — |
| Geoffrey Lee Jacobson | DIRECTOR | — |
| John Bauer | DIRECTOR | — |
| Stephen Deane Gresham | DIRECTOR | — |
| Diane Hadley Arnold | DIRECTOR | — |
| Nancy Stillman | CHIEF COMPLIANCE OFFICER | Essex, CT |
| Susan K Roth | CHIEF OPERATING OFFICER, TREASURER, SECRETARY | — |
| Ronald Clark Nelson | CHIEF OPERATING OFFICER, TREASURER, SECRETARY | — |
| GRESHAM STEPHEN DEANE | DIRECTOR | — |
| MARTIN JOANN MARIE | CHIEF FINANCIAL OFFICER | — |
| MORRIS DAVID ROY | DIRECTOR | — |
| JACOBSON DAVID LEE | DIRECTOR | — |
| RAFAL JOHN WILLIAM | DIRECTOR; DIRECTOR/TREASURER; SHAREHOLDER/PRESIDENT/DIRECTOR (+1 more) | — |
| MACOMB ROMAINE ANNE | VICE PRESIDENT, REGISTERED PRINCIPAL; VP | — |
| SHOOK GREGORY RALPH | DIRECTOR | — |
| GIBBLE KENNETH | CHAIRMAN; DIRECTOR | — |
| REYNOLDS GARY HAYDEN | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-09-30 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION (COMMISSION) FOUND THAT DURING THE PERIOD JANUARY 1, 2014 TO MAY 22, 2018 (THE "RELEVANT PERIOD"), ESSEX FINANCIAL SERVICES, INC. (EFS) PURCHASED, RECOMMENDED, OR HELD FOR ADVISORY CLIENTS MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LOWER COST… | Final | — |
| 2017-01-09 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ALLEGED THAT THE FIRM VIOLATED THE CASH SOLICITATION PORTIONS OF THE INVESTMENT ADVISERS ACT WHICH PROHIBIT THE PAYMENT OF REFERRAL FEES TO A SOLICITOR UNLESS DISCLOSURE AND OTHER REQUIREMENTS ARE MET. | Final | — |
| 2015-11-23 | regulatory | ON NOVEMBER 23, 2015, THE BANKING COMMISSIONER ("COMMISSIONER") ENTERED A CONSENT ORDER (NO. CO-15-8158-S) WITH RESPECT TO ESSEX FINANCIAL SERVICES, INC. THE CONSENT ORDER ALLEGED THAT THE FIRM 1) VIOLATED SECTION 36B-6(C)(3) OF THE CONNECTICUT UNIFORM SECURITIES ACT BY ENGAGING AN ATTORNEY TO WHOM… | Final | $25K |