Owen W. Bregman

ESSEX FINANCIAL SERVICES

Southport, CT 06890

CRD#: 4083424

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Professional summary

Owen W Bregman, who also goes by Owen William Bregman, is a registered financial advisor currently at ESSEX FINANCIAL SERVICES, INC. located in Southport, Connecticut.

Owen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Owen has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Owen William Bregman

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Owen W Bregman'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

February 28, 2022 - Present

ESSEX FINANCIAL SERVICES, INC.

Office #1: 30 Jelliff Ln Suite 202, Southport, CT 06890

RIA

CRD#: 127549

Southport, CT

Past

January 27, 2023 - July 1, 2024

THE LEADERS GROUP, INC.

CRD#: 37157

Essex, CT

Past

July 25, 2022 - December 31, 2022

THE LEADERS GROUP, INC.

CRD#: 37157

Essex, CT

Past

July 6, 2017 - December 3, 2021

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Stamford, CT

Past

July 6, 2017 - December 3, 2021

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Stamford, CT

Past

March 5, 2007 - December 7, 2012

BREGMAN & COMPANY, P.C.

RIA

CRD#: 141043

STAMFORD, CT

Past

October 18, 2000 - June 27, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

STAMFORD, CT

Past

September 27, 2000 - June 27, 2017

LPL FINANCIAL LLC

CRD#: 6413

STAMFORD, CT

Past

January 17, 2000 - October 2, 2000

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

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".

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)

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
(2/28/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/26/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/14/2000

General Securities Representative Examination

Current Firm

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)

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

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ESSEX FINANCIAL FORM ADV PART 2A (12/23/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/22/2025	Cover Page	Report
11/07/2024	Cover Page	Report
10/12/2023	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.

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Firm Stability Insights

Owen W. Bregman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Owen W Bregman's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

THE LEADERS GROUP, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

BREGMAN & COMPANY, P.C.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CIBC WORLD MARKETS CORP.

Primary Firm SEC Registration

ESSEX FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/26/2000

SIE

Date: 10/1/2018

Series 7

Date: 1/14/2000

Current Firm

ESSEX FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ESSEX FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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