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CW

Courtney H. Walsh

ESSEX FINANCIAL SERVICES
Southport, CT 06890
Some features on this profile are disabled
CRD#: 2479081
CW

Professional summary

Courtney Hughes Walsh, who also goes by Courtney French Hughes, Courtney French Walsh, Courtney Hughes Walsh, is a registered financial advisor currently at ESSEX FINANCIAL SERVICES, INC. located in Southport, Connecticut and THE LEADERS GROUP, INC. located in Essex, Connecticut.

Courtney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Courtney has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Courtney French Hughes | Courtney French Walsh | Courtney Hughes Walsh

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) ESSEX FINANCIAL - 6/14/21 - 176 Westbrook Road, Essex, CT 06426 - Client Relationship Manager, Service client accounts/support advisors, Invt Rel, Insurance business, 40 hrs/mo; 37.5 hrs/mo (during trading hours). 2) The Leader's Group - 08/2021 - 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).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Courtney Hughes Walsh'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®
None

Experience

Current

June 18, 2021 - Present

ESSEX FINANCIAL SERVICES, INC.

Office #1: 30 Jelliff Ln, Southport, CT 06890
RIA
CRD#: 127549
Southport, CT
Current

August 30, 2021 - Present

THE LEADERS GROUP, INC.

Office #1: 176 Westbrook Road, Essex, CT 06426
BD
CRD#: 37157
Essex, CT
Past

December 4, 2020 - June 3, 2021

JANNEY MONTGOMERY SCOTT LLC

RIA
CRD#: 463
NEW HAVEN, CT
Past

May 20, 2020 - June 3, 2021

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
NEW HAVEN, CT
Past

November 13, 1996 - December 11, 2001

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

January 28, 1995 - August 2, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

April 29, 1994 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR
Connecticut
(6/18/2021)
RR
Connecticut
(8/30/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/3/2020
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/20/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/20/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/5/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/28/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

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#: 127549Southport, CT 06890

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