James M. Sullivan
ESSEX FINANCIAL SERVICES | Financial Advisor
Essex, CT 06426
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CRD#: 4003205
Professional summary
James Michael Sullivan, AIF®, who also goes by James Michael Sullivan, James Michael Sulivan, is a registered financial advisor currently at ESSEX FINANCIAL SERVICES, INC. located in Essex, Connecticut and THE LEADERS GROUP, INC. located in Essex, Connecticut.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. James has worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
What are your service offerings?
Trust & estate planning
Institutional consulting
Financial planning
Trading individual securities
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
100K
Are you a "fiduciary"?
Yes
Aliases
James Michael Sullivan | James Michael Sulivan
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) ESSEX FINANCIAL - 4/20/2009 - 176 Westbrook Road, Essex, CT 06426 - FA & VP, Sales, Invt Rel, Insurance business, 160 hrs/mo; 8 hrs/mo (during trading hours). 2) Simplicity Investments (formerly The Leader's Group) - 7/13/2021 - 475 Springfield Ave, Suite 1, Summit NJ 07901 - Inv Rel - Broker-Dealer Affiliation - Registered Representative - 20 hrs/mo; 2hrs/mo (during trading hours). 3) Insurance Agent for Essex Financial Services Inc -4/2009- 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 James Michael Sullivan'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®
Experience
Current
April 20, 2009 - Present
ESSEX FINANCIAL SERVICES, INC.
Office #1: 176 Westbrook Road, Essex, CT 06426RIA
CRD#: 127549
Essex, CT
Current
June 2, 2021 - Present
THE LEADERS GROUP, INC.
Office #1: 176 Westbrook Road, Essex, CT 06426BD
CRD#: 37157
Essex, CT
Past
April 20, 2009 - June 1, 2021
ESSEX FINANCIAL SERVICES, INC.
BD
CRD#: 127549
ESSEX, CT
Past
June 5, 2003 - February 19, 2009
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
WEST HARTFORD, CT
Past
April 30, 2001 - February 19, 2009
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
WEST HARTFORD, CT
Past
October 1, 1999 - August 15, 2000
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Connecticut(4/20/2009)
RR
Connecticut(6/2/2021)
RR
Florida(6/2/2021)
RR
Massachusetts(6/2/2021)
RR
New Hampshire(6/2/2021)
RR
New York(6/2/2021)
RR
Rhode Island(6/2/2021)
RR
Vermont(6/2/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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.
Company Information
ESSEX FINANCIAL SERVICES, INC.
Financial AdvisorCRD#: 127549Essex, CT 06426TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
