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JB

Julie B. Bauman

ESSEX FINANCIAL SERVICES
Essex, CT 06426
Some features on this profile are disabled
CRD#: 3018508
JB

Professional summary

Julie Belknap Bauman, who also goes by Julie Marie Belknap, is a registered financial advisor currently at ESSEX FINANCIAL SERVICES, INC. located in Essex, Connecticut.

Julie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Julie has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Julie Marie Belknap

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.) THE LEADERS GROUP INC - 6/1/2021 - 176 Westbrook Road, Essex, CT 06426 - Registered Rep/Client Relationship Manager, Invt Rel, 4 hrs/mo; 4 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Julie Belknap Bauman'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

December 12, 2022 - Present

ESSEX FINANCIAL SERVICES, INC.

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

June 2, 2021 - December 31, 2023

THE LEADERS GROUP, INC.

BD
CRD#: 37157
Essex, CT
Past

August 12, 2011 - June 1, 2021

ESSEX FINANCIAL SERVICES, INC.

BD
CRD#: 127549
ESSEX, CT
Past

February 19, 2008 - August 11, 2011

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
CENTERBROOK, CT
Past

August 3, 1998 - February 27, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
ESSEX, CT

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
(12/12/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/12/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/4/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/31/1998
General Securities Representative 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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