OB
Owen W. Bregman
ESSEX FINANCIAL SERVICES
Southport, CT 06890
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CRD#: 4083424
OB
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.
1.) ESSEX FINANCIAL - 2/25/2022 - 176 Westbrook Road, Essex, CT 06426 - Co Advisor, RIA, Invt Rel, RIA, 8 hrs/mo; 0 hrs/mo (during trading hours) 2.) Fiondella, Milone& LaSaracina, LLP, Certified Accountants. - 350 Bedford Street Suite 203 Stamford, CT 06901 - Managing Partner Not Invt Rel, CPA Firm, 172 hrs/mo; 172 hrs/mo (during trading hours) 3.) INDEPENDENT INSURANCE AGENT - 1/1/2000 - 1 Blind Brook Road N Westport CT 06880 - Insurance Agent, Sales as a co-broker, Not Invt Rel, Insurance business, 5 hrs/mo; 4 hrs/mo (during trading hours)
CRS (Client Relationship Summary) - RIA
Click below to view Owen W Bregman'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®
NoneExperience
Current
February 28, 2022 - Present
ESSEX FINANCIAL SERVICES, INC.
Office #1: 30 Jelliff Ln 2nd Fl, Southport, CT 06890RIA
CRD#: 127549
Southport, CT
Past
January 27, 2023 - July 1, 2024
THE LEADERS GROUP, INC.
BD
CRD#: 37157
Essex, CT
Past
July 25, 2022 - December 31, 2022
THE LEADERS GROUP, INC.
BD
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.
BD
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
BD
CRD#: 6413
STAMFORD, CT
Past
January 17, 2000 - October 2, 2000
CIBC WORLD MARKETS CORP.
BD
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".
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(2/28/2022)
Exams
State Security Law 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.
Company Information
ESSEX FINANCIAL SERVICES, INC.
CRD#: 127549Southport, CT 06890TRUST BUT VERIFY
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