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DL

David F. Lamay

ESSEX FINANCIAL SERVICES
Essex, CT 06426
Some features on this profile are disabled
CRD#: 2198416
DL

Professional summary

David Francis Lamay, CFP®, CPWA®, who also goes by Dave Lamay, David Frances Lamay, is a registered financial advisor currently at ESSEX FINANCIAL SERVICES, INC. located in Essex, Connecticut.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. David has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, Series 6TO, SIE, Series 50, Series 7, Series 24, Series 10, Series 9 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dave Lamay | David Frances Lamay

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.) 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). 2) Central CT State University- New Britain, CT - Adjunct Professor of Finance, Teaching undergraduate personal finance course, Not Invt Rel, Education business, 40 hrs/mo; 0 hrs/mo (during trading hours). 3) Old Saybrook Ambulance Assoc. - Town of Old Saybrook, CT, EMT, Provide emergency medical service, Not Invt Rel, EMT services, 48 hrs/mo; 0 hrs/mo (during trading hours). 4) Old Saybrook Police Dept. - Town of Old Saybrook, CT, Marine Operator Not Invt Rel, Emergency Services, 16 hrs/mo; 0 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Francis Lamay's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2006

CPWA®

Certified Private Wealth Advisor

Start date: 2016-04-15

Expire date: 2024-03-31

Experience

Current

March 15, 2010 - Present

ESSEX FINANCIAL SERVICES, INC.

Office #1: 176 Westbrook Road, Essex, CT 06426
RIA
CRD#: 127549
Essex, CT
Past

June 2, 2021 - July 8, 2021

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

March 15, 2010 - June 1, 2021

ESSEX FINANCIAL SERVICES, INC.

BD
CRD#: 127549
ESSEX, CT
Past

January 19, 2000 - March 16, 2010

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
NEW HAVEN, CT
Past

November 1, 1999 - March 15, 2010

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
NEW HAVEN, CT
Past

January 5, 1999 - July 13, 1999

AETNA FINANCIAL SERVICES, INC.

BD
CRD#: 13255
HARTFORD, CT
Past

November 17, 1995 - July 13, 1999

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

May 10, 1994 - October 18, 1995

CONSECO SECURITIES, INC.

BD
CRD#: 29367
CARMEL, IN
Past

December 10, 1991 - May 2, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EF
ESSEX FINANCIAL SERVICES, INC.
ESSEX FINANCIAL | ESSEX FINANCIAL SERVICES, INC.

CRD#: 127549 / SEC#: 801-62242, 8-66015

RIA
Registered Investment Advisory firm - SEC (8/7/2003 Approved)
BD
Terminated by SEC on 08/01/2021

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Connecticut
(3/15/2010)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/7/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/13/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/19/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 9/11/2017
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 7
Date: 12/9/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/19/2024
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/19/2024
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/19/2024
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 26
Date: 9/7/1994
Investment Company Products/Variable Contracts Principal Examination

Current Firm

EF
ESSEX FINANCIAL SERVICES, INC.
ESSEX FINANCIAL | ESSEX FINANCIAL SERVICES, INC.

CRD#: 127549 / SEC#: 801-62242, 8-66015

RIA
Registered Investment Advisory firm - SEC (8/7/2003 Approved)
BD
Terminated by SEC on 08/01/2021
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Contact information

Main Address
176 Westbrook Road, Essex, CT 06426
Mailing Address
Phone number
(860) 767-4300
Established
Connecticut since 04/24/2003
Firm type
Corporation
Fiscal year end
September
# of Employees
46

SEC notice filing (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ESSEX FINANCIAL FORM ADV PART 2A (10/30/2025)

Direct owners and executive officers

NamePositionCRD#
ESSEX SAVINGS BANKSHAREHOLDER
BAUER, JOHNDIRECTOR7031583
BOONE, MARY EMELIADIRECTOR6281326
CUMELLO, CHARLES ROBERT JRPRESIDENT & CEO, DIRECTOR2120572
GLOWAC, BRUCE MICHAELDIRECTOR
GRESHAM, STEPHEN DEANEDIRECTOR1126592
JACOBSON, GEOFFREY LEEDIRECTOR
NELSON, RONALD CLARKCHIEF OPERATING OFFICER, TREASURER, SECRETARY1137618
OROURKE, MICHAEL DENNISCHIEF COMPLIANCE OFFICER1551838
PAUL, DOUGLAS WILLIAMSCHAIRMAN
SHOOK, GREGORY RALPHDIRECTOR
TERRIBILE, WILLIAM JOHN JRFINANCIAL AND OPERATIONS PRINCIPAL, ROSFP1132498

Regulatory assets under management

Total Number of Accounts7,143
AUM (Assets Under Management)$ 4,169,984,114

Disclosures

Regulatory Event5

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/22/2025
Cover Page
Report
11/07/2024
Cover Page
Report
10/12/2023
Cover Page
Report
11/21/2022
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ESSEX FINANCIAL SERVICES, INC.

CRD#: 127549Essex, CT 06426

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