Kevin J. Looby
ESSEX FINANCIAL SERVICES
Essex, CT 06426
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CRD#: 2821788
Professional summary
Kevin Joseph Looby, CFP® is a registered financial advisor currently at ESSEX FINANCIAL SERVICES, INC. located in Essex, Connecticut.
Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Kevin has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) KEVIN J LOOBY, RENTAL PROPERTY, OWNER, Hoboken, NJ, START NOV 2010, 1 HRS PER MONTH, ZERO DURING TRADING HRS, REAL ESTATE MANAGEMENT, NOT INVESTMENT RELATED. 2) SOUND PRIVATE WEALTH, LLC, Owner of rental property in Bay City, MI, 1HR PER MONTH ALL DURING TRADING HRS, NOT INVESTMENT RELATED. 3) KELSEY SPRINGS HOME OWNERS ASSOCIATION, PRESIDENT, MADISON, CT, .5 HRS PER MONTH, ZERO DURING TRADING HRS., NOT INVESTMENT RELATED 4) Hope Partnership, Board Member, Centerbrook CT, 10/11/2024, Sit in board meetings quarterly, meet with committees monthly to review or develop ideas on progress toward mission of the charity. No compensation involved, volunteer only. Non-investment related 5) Insurance Agent for Essex Financial Services Inc - 01/2022 - 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).
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Joseph Looby's 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®
Start date: 2006
Experience
Current
January 24, 2022 - Present
ESSEX FINANCIAL SERVICES, INC.
Office #1: 176 Westbrook Road, Essex, CT 06426Office #2: 99 Durham Rd 2nd Floor, Madison, CT 06443RIA
CRD#: 127549
Essex, CT
Past
January 3, 2020 - January 26, 2022
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
MADISON, CT
Past
October 31, 2017 - January 17, 2020
PRINCIPLE WEALTH
RIA
CRD#: 290180
MADISON, CT
Past
May 4, 2016 - October 30, 2017
ESSEX FINANCIAL SERVICES, INC.
RIA
CRD#: 127549
MADISON, CT
Past
May 4, 2016 - January 2, 2018
ESSEX FINANCIAL SERVICES, INC.
BD
CRD#: 127549
MADISON, CT
Past
June 12, 2002 - April 25, 2016
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
MILLBURN, NJ
Past
October 22, 1999 - April 14, 2016
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
MILLBURN, NJ
Past
November 15, 1996 - October 21, 1999
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
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(1/24/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)
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.
