CRD #127549 · FINRA BrokerCheck + SEC IAPD

Essex Financial Services, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Essex Financial Services, Inc. ranks #1,425 of 20,055 by disclosure count (most disclosures first). Essex Financial Services, Inc. carries 5 BrokerCheck disclosures across 13 branch offices - moderate load for a regional firm, earning a Grade C.

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Grade C
Safety grade
13
branch offices
5
disclosures
#1,425 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 127549 Essex Financial Services, Inc.

Essex Financial Services, Inc. · Grade C · 5 disc · 0.38/office · Regional firm

  • CRD 127549
  • GRADE C
  • DISC 5
  • REG 5
  • ARB 0
  • CIV 0
  • BRANCH 13
  • PER-OFF 0.38
  • RANK #1,425 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: First Western Securities, Inc. (0.38 disc/office)

First Western Securitie…0.38Santander US Capital Ma…0.38Insight Securities, Inc.0.39Essex Financial Ser… (this)0.38
Disclosures per office among regional firm peers (lower is cleaner)

Essex Financial Services, Inc. ranks #1,425 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.38 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

13 offices

FINRA: Medium firm

Total disclosures

5 events

On FINRA BrokerCheck

Regulatory events

5 actions

100% of all disclosures

Disclosures per office

0.38 per office

5 ÷ 13 offices

Essex Financial Services, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 65% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 5
Arbitrations 0
Civil Events 0
Total 5

Counts for Essex Financial Services, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 5 Arbitration 0 Civil 0

Firm Details

Firm Size
Medium
Scope
INACTIVE
CRD Number
127549

Regulator-heavy mix

Essex Financial Services, Inc. in the heavier-disclosure third

Essex Financial Services, Inc. carries 5 BrokerCheck disclosures across 13 branch offices - a heavier-third raw book among graded firms (#1,425 of 20,055). Regulator-initiated events are 100% of the book (5 regulatory / 0 arbitration / 0 civil).

100% of Essex Financial Services, Inc.'s 5 disclosures are regulator-initiated (5 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Essex Financial Services, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Essex Financial Services, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Essex Financial Services, Inc. ranks #1,425 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Essex Financial Services, Inc.?
A grade of C reflects Essex Financial Services, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 5 total disclosures across 13 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Essex Financial Services, Inc. have?
Essex Financial Services, Inc. has 5 total FINRA disclosures, including 5 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Essex Financial Services, Inc.?
Essex Financial Services, Inc. operates 13 branch offices and is classified by FINRA as a medium firm (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Essex Financial Services, Inc.'s disciplinary record?
You can verify Essex Financial Services, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 127549. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Essex Financial Services, Inc.'s 5 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Essex Financial Services, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Essex Financial Services, Inc. carries 5 disclosures across 13 branch offices (about 0.38 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.