SF
Sean F. Flynn
ESSEX FINANCIAL SERVICES
Southport, CT 06890
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CRD#: 5264521
SF
Professional summary
Sean Francis Flynn is a registered financial advisor currently at ESSEX FINANCIAL SERVICES, INC. located in Southport, Connecticut.
Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Sean has worked at 7 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION
2.NAME OF OUTSIDE BUSINESS ORGANIZATION: PORTSMOUTH ABBEY SCHOOL
3.INVESTMENT RELATED: N
4.ADDRESS OF BUSINESS:
CORYS LANE,
PORTSMOUTH, RHODE ISLAND 2871
5.NATURE OF BUSINESS: OTHER,LEADERSHIP BOARD
6.COMPENSATION FOR ACTIVITY: N
7.POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER,
8.START DATE OF RELATIONSHIP: 1/1/2013
9.NUMBER OF HOURS DEVOTED: 10 HOUR(S) ANNUALLY
10.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0
11.DUTIES: ALUMNI LEADERSHIP COUNCIL
CRS (Client Relationship Summary) - RIA
Click below to view Sean Francis Flynn'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
March 13, 2017 - Present
ESSEX FINANCIAL SERVICES, INC.
Office #1: 30 Jelliff Ln, Southport, CT 06890RIA
CRD#: 127549
Southport, CT
Past
May 16, 2014 - March 13, 2017
APELLA WEALTH
RIA
CRD#: 171106
GLASTONBURY, CT
Past
May 28, 2013 - March 13, 2017
SYMMETRY PARTNERS
RIA
CRD#: 120982
GLASTONBURY, CT
Past
April 19, 2011 - May 6, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
December 2, 2010 - May 6, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 21, 2008 - December 23, 2010
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
NEW YORK CITY, NY
Past
March 26, 2008 - October 8, 2008
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
April 16, 2007 - September 5, 2007
BNY INVESTMENT CENTER INC.
BD
CRD#: 47683
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(3/13/2017)
Exams
State Security Law Exam
State Security Law 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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