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RIA / WealthAdvisor30 years in industry

SUSAN K ROTH

Advisor at ESSEX FINANCIAL SERVICES, INC.

ESSEX, CT

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Search this name across graphsid dfx:ria:17fc84e4-163f-bca2-9502-14cd7bcd9b8c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Aug 24, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ESSEX FINANCIAL SERVICES, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 12, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Dec 12, 1995
First registration: Aug 24, 1998
Dual registered: no
Other names: SUSAN ROTH|SUSAN ROTH MASSICOTT|SUSAN KATHLEEN ROTH
IAPD individual key: 2574898

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ESSEX FINANCIAL SERVICES, INC.	Independent wealth	Apr 30, 2024	n/a	yes	ESSEX, CT	Current employment
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Apr 11, 2019	Apr 22, 2024	no	WALLINGFORD, CT	Previous registration
CFO CAPITAL MANAGEMENT, LLC	Former SEC adviser	Jan 30, 2019	Mar 20, 2019	no	Old Saybrook Avenue, CT\|FAIRFIELD, CT	Previous registration
PLANMEMBER SECURITIES CORPORATION	Independent wealth	Sep 18, 2015	Jan 5, 2017	no	FARMINGVILLE, NY\|NEW HAVEN, CT	Previous registration
WESTPORT RESOURCES MANAGEMENT INC	Former SEC adviser	Jun 11, 2012	Jun 11, 2015	no	WESTPORT, CT	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	May 12, 2011	Dec 1, 2011	no	Shelton, CT	Previous registration
WESTPORT RESOURCES MANAGEMENT INC	Former SEC adviser	Apr 20, 2005	May 13, 2011	no	WESTPORT, CT	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 24, 1998	Jun 13, 2002	no	WESTPORT, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
COMMONWEALTH FINANCIAL NETWORK	ESSEX FINANCIAL SERVICES, INC.	Apr 22, 2024	Apr 30, 2024	8	Firm change	Ibd to RIA
CFO CAPITAL MANAGEMENT, LLC	COMMONWEALTH FINANCIAL NETWORK	Mar 20, 2019	Apr 11, 2019	22	Firm change	RIA to ibd
PLANMEMBER SECURITIES CORPORATION	CFO CAPITAL MANAGEMENT, LLC	Jan 5, 2017	Jan 30, 2019	755	Firm change after gap	Other
WESTPORT RESOURCES MANAGEMENT INC	PLANMEMBER SECURITIES CORPORATION	Jun 11, 2015	Sep 18, 2015	99	Firm change	Other
NFP ADVISOR SERVICES, LLC	WESTPORT RESOURCES MANAGEMENT INC	Dec 1, 2011	Jun 11, 2012	193	Firm change	Other
WESTPORT RESOURCES MANAGEMENT INC	NFP ADVISOR SERVICES, LLC	May 13, 2011	May 12, 2011	-1	Firm change	Other
UBS FINANCIAL SERVICES INC.	WESTPORT RESOURCES MANAGEMENT INC	Jun 13, 2002	Apr 20, 2005	1,042	Firm change after gap	Other

Relationships

Registered with (7)

→ ESSEX FINANCIAL SERVICES, INC.Registered adviserregistration: current employment
Apr 30, 2024 to presentfactForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Apr 11, 2019 to Apr 22, 2024factForm ADV
→ CFO CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 30, 2019 to Mar 20, 2019factForm ADV
→ PLANMEMBER SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Sep 18, 2015 to Jan 5, 2017factForm ADV
→ WESTPORT RESOURCES MANAGEMENT INCRegistered adviserregistration: previous registration
Jun 11, 2012 to Jun 11, 2015factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
May 12, 2011 to Dec 1, 2011factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 24, 1998 to Jun 13, 2002factForm ADV

Dated events

Occurred
Apr 22, 2024
Advisor changed firm
Susan K Roth left Commonwealth Financial Network for Essex Financial Services, Inc. (registered 2024-04-30)
Form ADVobserved 5 days ago