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Current Employers
Essex Financial Services, Inc.

176 Westbrook Road, Essex, CT 06426 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2010-03-02
  • CT RA
    APPROVED
    Since 2010-03-02

Branch Locations

10 Waterside Dr, Suite 100, Farmington, CT 06032 • United States

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 03/2010 Present
The Leaders Group Inc Littleton CO 06/2021 Present
  • 03/2010 → Present
    Essex Financial Services
    Essex, CT
  • 06/2021 → Present
    The Leaders Group Inc
    Littleton, CO
Previous Registrations
  • 2009-11-17 → 2010-02-25
    Td Wealth Management Services Inc.
    New Britain, CT
    Southbury, CT
    Bristol, CT
    Bridgeport, CT
    Newington, CT
    Meriden, CT
    Plantsville, CT
  • 2003-03-04 → 2009-11-17
    Cetera Investment Services Llc
    West Harford, CT
    Plantsville, CT
  • 2001-02-09 → 2003-03-06
    National Planning Corporation
    West Hartford, CT
Other Businesses

1) ESSEX FINANCIAL - 03/01/2010 - 176 Westbrook Road, Essex, CT 06426 - Advisor, Retail investment advisor, Invt Rel, IAR business, 200 hrs/mo; 160 hrs/mo (during trading hours). 2) 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 - 20 hrs/mo; 2hrs/mo (during trading hours). 3) Insurance Agent for Essex Financial Services Inc -3/2010 - 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
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-01-10
S63 Uniform Securities Agent State Law Examination 1989-01-04
  • S65 Uniform Investment Adviser Law Examination
    1996-01-10
  • S63 Uniform Securities Agent State Law Examination
    1989-01-04
Other Names
  • Tony Russo

View on SEC IAPD

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