Chief Operating Officer, Treasurer, Secretary · Essex Financial Services, Inc.
Susan K Roth
CRD 2574898 · Named on Form ADV at one SEC-registered adviser
At a glance
Essex Financial Services, Inc., an SEC-registered wealth manager based in Essex, CT with $4.2 billion in regulatory assets, lists Susan K Roth on its Form ADV as Chief Operating Officer, Treasurer, Secretary, a control person.
Firms and roles
- Essex Financial Services, Inc.Chief Operating Officer, Treasurer, SecretaryWealth manager · Essex, CT · $4.2B in regulatory assets
AtlasMembers
Susan’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 1998 (28 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 1 state
- Also a broker representative
- No
- Disclosures on record
- None
AtlasMembers
Susan’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 7 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (7)
- Ronald C. NelsonDirector, Essex Financial Services, Inc.
- Charles R. CumelloPresident & Chief Executive Officer, Director, Essex Financial Services, Inc.
- Mary Emelia BooneDirector, Essex Financial Services, Inc.
- John BauerDirector, Essex Financial Services, Inc.
- Stephen Deane GreshamDirector, Essex Financial Services, Inc.
2 more people named with Susan on the same filings, with titles and firms. Free in Atlas with a free account.
See all 7 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Susan’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.