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Nicholas Luke Naumann

Essex Financial Services, Inc.

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About Nicholas Luke Naumann

Nicholas Naumann is a financial advisor at Essex Financial Services, Inc. He has been in the industry since 2012 and holds Series 63, Series 65, Series 7 and SIE licenses. Nicholas works with individuals, families, trusts, corporations, and pension plans. Nicholas is registered as an Investment Advisor Representative in Connecticut, Florida, New Hampshire and New York. Nicholas specializes in financial planning, portfolio management for individuals and businesses, and selection of other advisors. He also works with clients on pension consulting and insurance planning.

Firm Information

Nicholas Naumann is currently registered with Essex Financial Services, Inc.. Essex Financial Services, Inc. is a terminated Corporation formed in 2003. Based in Essex, CT, they provided financial planning, pension consulting, and portfolio management services for individuals, businesses, and institutional clients. They managed over $3.77 billion in regulatory assets for clients.
Essex Financial Services, Inc.

176 WESTBROOK ROAD

ESSEX, CT 06426

$3.77B

Assets Under Management

1

Total Clients

30

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Nicholas Naumann’s Registration & Firm History

CT

11/13/2018 - Present

Essex Financial Services, Inc. (ESSEX CT)

CT

11/13/2018 - 06/02/2021

ESSEX FINANCIAL SERVICES, INC. (SOUTHPORT CT)

CT

03/06/2012 - 04/13/2018

FIDELITY BROKERAGE SERVICES LLC (FAIRFIELD CT)

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Licenses & Designations

IA

Issued 03/25/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/12/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/13/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/05/2012

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Nicholas Luke Naumann.
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