Nauman K. Rana
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.
Nauman Karim Rana, who also goes by Norman Rana, was a registered financial professional .
Nauman is a previously registered financial professional and started their career in finance in 1999. Nauman had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 4 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
CUNY Zicklin School of Business
Master of Finance - Finance
2020
CUNY Zicklin School of Business
Bachelor of Business Administration - Finance & Investment Analysis
2008
Experience
April 1, 2024 - December 16, 2024
ESSEX FINANCIAL SERVICES, INC.
July 18, 2023 - April 1, 2024
PURSHE KAPLAN STERLING INVESTMENTS
June 28, 2023 - April 3, 2024
OPAL WEALTH ADVISORS, LLC
July 13, 2018 - May 11, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 18, 2015 - July 13, 2018
STRATEGIC ADVISERS LLC
September 4, 2015 - May 10, 2023
FIDELITY BROKERAGE SERVICES LLC
March 30, 2015 - August 25, 2015
J.P. MORGAN SECURITIES LLC
March 26, 2015 - August 25, 2015
J.P. MORGAN SECURITIES LLC
May 15, 2012 - February 27, 2015
INVESTORS CAPITAL CORP.
July 25, 2007 - February 27, 2015
INVESTORS CAPITAL CORP.
June 15, 2004 - August 14, 2007
GUNNALLEN FINANCIAL, INC
June 3, 2003 - July 12, 2004
WOODSTOCK FINANCIAL GROUP, INC.
November 21, 2002 - June 3, 2003
FIRST MONTAUK SECURITIES CORP.
August 19, 2002 - September 19, 2002
LADENBURG CAPITAL MANAGEMENT INC.
June 11, 2002 - August 7, 2002
LADENBURG CAPITAL MANAGEMENT INC.
March 7, 2000 - April 18, 2002
QUICK & REILLY, INC.
January 5, 2000 - March 28, 2000
CARNEGIE INVESTOR SERVICES INC.
October 11, 1999 - November 19, 1999
MILLENNIUM SECURITIES CORP.
June 18, 1999 - September 15, 1999
CARNEGIE INVESTOR SERVICES 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.
Company Information
ESSEX FINANCIAL SERVICES, INC.
Financial ConsultantCRD#: 127549TRUST BUT VERIFY
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