Susan K. Roth
Professional summary
Susan K Roth, who also goes by Susan Roth Massicott, Susan Kathleen Roth, Susan Roth, is a registered financial advisor currently at ESSEX FINANCIAL SERVICES, INC. located in Essex, Connecticut.
Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Susan has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 3, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Susan K Roth's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 30, 2024 - Present
ESSEX FINANCIAL SERVICES, INC.
Office #1: 176 Westbrook Road, Essex, CT 06426April 11, 2019 - April 22, 2024
COMMONWEALTH FINANCIAL NETWORK
April 11, 2019 - April 22, 2024
COMMONWEALTH FINANCIAL NETWORK
January 30, 2019 - March 20, 2019
CFO CAPITAL MANAGEMENT, LLC
January 11, 2019 - March 21, 2019
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
January 6, 2017 - August 14, 2018
SMH CAPITAL INVESTMENTS LLC
September 18, 2015 - January 5, 2017
PLANMEMBER SECURITIES CORPORATION
September 17, 2015 - January 5, 2017
PLANMEMBER SECURITIES CORPORATION
June 11, 2012 - June 11, 2015
WESTPORT RESOURCES MANAGEMENT INC
December 6, 2011 - December 3, 2014
SMH CAPITAL INVESTMENTS LLC
May 12, 2011 - December 1, 2011
KESTRA INVESTMENT SERVICES, LLC
May 12, 2011 - December 1, 2011
KESTRA INVESTMENT SERVICES, LLC
April 20, 2005 - May 13, 2011
WESTPORT RESOURCES MANAGEMENT INC
June 14, 2002 - May 13, 2011
SMH CAPITAL INVESTMENTS LLC
August 24, 1998 - June 13, 2002
UBS FINANCIAL SERVICES INC.
August 17, 1998 - June 13, 2002
UBS FINANCIAL SERVICES INC.
November 8, 1995 - July 2, 1998
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
ESSEX FINANCIAL SERVICES, INC.
CRD#: 127549 / SEC#: 801-62242, 8-66015
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/30/2024)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
ESSEX FINANCIAL SERVICES, INC.
CRD#: 127549 / SEC#: 801-62242, 8-66015
Contact information
SEC notice filing (28 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ESSEX SAVINGS BANK | SHAREHOLDER | |
| BAUER, JOHN | DIRECTOR | 7031583 |
| BOONE, MARY EMELIA | DIRECTOR | 6281326 |
| CUMELLO, CHARLES ROBERT JR | PRESIDENT & CEO, DIRECTOR | 2120572 |
| GLOWAC, BRUCE MICHAEL | DIRECTOR | |
| GRESHAM, STEPHEN DEANE | DIRECTOR | 1126592 |
| JACOBSON, GEOFFREY LEE | DIRECTOR | |
| NELSON, RONALD CLARK | CHIEF OPERATING OFFICER, TREASURER, SECRETARY | 1137618 |
| OROURKE, MICHAEL DENNIS | CHIEF COMPLIANCE OFFICER | 1551838 |
| PAUL, DOUGLAS WILLIAMS | CHAIRMAN | |
| SHOOK, GREGORY RALPH | DIRECTOR | |
| TERRIBILE, WILLIAM JOHN JR | FINANCIAL AND OPERATIONS PRINCIPAL, ROSFP | 1132498 |
Regulatory assets under management
| Total Number of Accounts | 7,143 |
| AUM (Assets Under Management) | $ 4,169,984,114 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2025 | ||
| 11/07/2024 | ||
| 10/12/2023 | ||
| 11/21/2022 |
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.
