Nicholas Luke Naumann

Employer firm

Essex Financial Services, Inc. CRD 127549

$4.17B regulatory AUM 1 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2011 → 11/2018
  Fidelity Investments
  Fairfield, CT
• 11/2018 → Present
  Essex Financial Services
  Essex, CT

Previous Registrations

• 2013-04-02 → 2018-04-16
  Strategic Advisers Llc
  Fairfield, CT

Other Businesses

1) Insurance Agent for Essex Financial Services Inc -11/2018 - 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).

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-03-25
• S63 Uniform Securities Agent State Law Examination
  2012-03-12