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Current Employers
Essex Financial Services, Inc.

176 Westbrook Road, Essex, CT 06426 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2013-07-31
  • CT RA
    APPROVED
    Since 2013-07-31

Branch Locations

176 Westbrook Road, Essex, CT 06426 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Essex Financial Services Essex CT 07/2013 Present
The Leaders Group Inc Littleton CO 06/2021 Present
  • 07/2013 → Present
    Essex Financial Services
    Essex, CT
  • 06/2021 → Present
    The Leaders Group Inc
    Littleton, CO
Previous Registrations
  • 2003-01-09 → 2013-08-09
    Osaic Fa, Inc.
    Windsor, CT
    Hartford, CT
  • 1999-10-29 → 2003-09-09
    Olson Mobeck Investment Advisors, Inc
    Rocky Hill, CT
Other Businesses

1) ESSEX FINANCIAL SERVICES INC - 7/2013 - 176 Westbrook Road, Essex, CT - Financial Advisor, Sales, Inv Related, Ins Business, 40 hrs/mo; 40 hrs/mo (during trading hours) 2) Insurance Agent for Essex Financial Services Inc -7/2013- 176 Westbrook Rd, Essex CT 06426 - Life insurance/fixed annuity sales - Not Inv Rel - Insurance Business - less than 10 hrs/mo; less than 10 hrs/mo (during trading hours). 3) The Leader's Group - 7/13/2021 - 2 W Dry Creek Cir, Suite 800, Littleton CO 80120-4475 - Inv Rel - Broker-Dealer Affiliation - Registered Representative - 8 hrs/mo; 8 hrs/mo (during trading hours).

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-12-31
S65 Uniform Investment Adviser Law Examination 1999-09-09
  • S63 Uniform Securities Agent State Law Examination
    2002-12-31
  • S65 Uniform Investment Adviser Law Examination
    1999-09-09
Designations

View on SEC IAPD

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