Adam S. Brown
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.
Adam Scott Brown, who also goes by Adam S Brown, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2015. Adam had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2016 - August 23, 2018
ESSEX FINANCIAL SERVICES, INC.
December 12, 2016 - August 23, 2018
ESSEX FINANCIAL SERVICES, INC.
August 13, 2015 - November 30, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 10, 2015 - November 30, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
