Judith E. Flynn
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Judith E Flynn, who also goes by Judith Ellen Flynn, Judith Ellen Flynn Mcmahon, Judith ^ Flynn-amoroso ^, Judith ^ Flynn-mcmahon ^, Judith Ellen Flynnamoroso, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1996. Judith had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2013 - May 16, 2014
ESSEX FINANCIAL SERVICES, INC.
January 7, 2013 - May 16, 2014
ESSEX FINANCIAL SERVICES, INC.
March 28, 2012 - January 22, 2013
HEDGEYE RISK MANAGEMENT, LLC
July 1, 2010 - October 4, 2011
STRATEGIC ADVISERS LLC
June 9, 2010 - October 3, 2011
FIDELITY BROKERAGE SERVICES LLC
December 16, 2008 - March 20, 2009
SIGNATOR INVESTORS, INC.
December 16, 2008 - March 20, 2009
SIGNATOR INVESTORS, INC.
October 16, 2008 - November 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 15, 2008 - November 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 28, 2008 - August 8, 2008
NEWALLIANCE INVESTMENTS, INC.
March 28, 2008 - April 14, 2008
VOYA FINANCIAL PARTNERS, LLC
April 16, 2003 - October 2, 2006
SECURITIES AMERICA, INC.
July 9, 1996 - May 20, 2003
VERAVEST INVESTMENTS, 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.
Visual representation of state registrations
Exams
Current 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.
