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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

ESSEX NATIONAL SECURITIES, INC.

CRD 25454

NAPA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:690f54e6-84f9-aee3-2919-dd618bd0ac2d

Data as of Jul 12, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 243
Dated events: 0
On other graphs: 0
Observed: Mar 20, 2012 to Jul 12, 2012
51 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $30.8MItem 5.F on the latest filing (2012-07-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $30.8M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 117
SEC number: 801-70990
CRD: 25454
Filings on the tape: 51
First filed: Mar 20, 2012
Latest filed: Jul 12, 2012
Organised: Corporation, New York

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
COONEY, JOHN MICHAEL	COO, CHIEF COMPLIANCE OFFICER, CFO, TREASURER, ROSFP	Na	yes	06/2008	Mar 20, 2012	Jul 12, 2012
DAVIS, SCOTT KELSO	CHAIRMAN, CEO, PRESIDENT	Na	yes	06/2012	Mar 20, 2012	Jul 12, 2012
ESSEX NATIONAL HOLDING COMPANY, LLC	Owner	E	yes	06/2012	Jun 22, 2012	Jul 12, 2012
SAMSON ESSEX LLC	Owner	E	yes	05/2012	Jun 22, 2012	Jul 12, 2012
WHITE, ANDREW OLEN	Director	Na	yes	06/2012	Jul 12, 2012	Jul 12, 2012
ZUCKERBERG, ROY JAY	Owner	D	yes	06/2012	Jul 12, 2012	Jul 12, 2012
BROUS, NILS PER	Owner	C	no	06/2012	Jul 12, 2012	Jul 12, 2012
GEDDES, WARREN	SENIOR VICE PRESIDENT	Na	no	04/2007	Mar 20, 2012	Jul 12, 2012
SANKISOV, ELLA	FINANCIAL & OPERATIONS PRINCIPAL	Na	no	09/2006	Mar 20, 2012	Jul 12, 2012
WATTS, ROBERT HARRIS	Director	Na	no	11/2006	Mar 20, 2012	Jul 12, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ESSEX NATIONAL SECURITIES, INC.	n/a	Former SEC adviser	$30.8M	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 20, 2012	$30.8M	$30.8M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$30.8M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	2	May 9, 2016	May 24, 2016	NEWTON, NJ	Team lift out	Other	4.1%
OSAIC INSTITUTIONS, INC.	2	Oct 16, 2015	Oct 14, 2015	NAPA, CA	Team lift out	Other	2.8%
OSAIC INSTITUTIONS, INC.	18	Oct 16, 2015	Apr 29, 2016	PITTSBURGH, PA	Team lift out	Other	25.4%
INVEST FINANCIAL CORPORATION	2	Oct 15, 2015	Oct 13, 2015	NAPA, CA	Team lift out	Other	2.5%
INVEST FINANCIAL CORPORATION	7	Oct 15, 2015	Oct 22, 2015	BRICK, NJ	Team lift out	Other	8.8%

Relationships

showing 80 of 243

Affiliated with (1)

→ ESSEX NATIONAL SECURITIES, INC.Registered adviserbroker-dealer, control, common control
factForm ADV

Controls (6)

← DAVIS, SCOTT KELSOOwnerCHAIRMAN, CEO, PRESIDENT, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV
← COONEY, JOHN MICHAELOwnerCOO, CHIEF COMPLIANCE OFFICER, CFO, TREASURER, ROSFP, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV
← ZUCKERBERG, ROY JAYOwnerOWNER, ownership code D, individual
Jul 12, 2012 to presentfactForm ADV
← WHITE, ANDREW OLENOwnerDIRECTOR, ownership code NA, individual
Jul 12, 2012 to presentfactForm ADV
← ESSEX NATIONAL HOLDING COMPANY, LLCOwnerOWNER, ownership code E, domestic entity
Jun 22, 2012 to presentfactForm ADV
← SAMSON ESSEX LLCOwnerOWNER, ownership code E, domestic entity
Jun 22, 2012 to presentfactForm ADV

Owns (4)

← BROUS, NILS PEROwnerOWNER, ownership code C, individual
Jul 12, 2012 to presentfactForm ADV
← SANKISOV, ELLAOwnerFINANCIAL & OPERATIONS PRINCIPAL, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV
← GEDDES, WARRENOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV
← WATTS, ROBERT HARRISOwnerDIRECTOR, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV

Registered with (66)

← JAMES BARONEAdvisorregistration: previous registration
Sep 17, 2014 to Jul 1, 2016factForm ADV
← MICHAEL WILLIAM RISKOAdvisorregistration: previous registration
Nov 4, 2009 to Jul 1, 2016factForm ADV
← Vance Albert RichardAdvisorregistration: previous registration
Nov 26, 2007 to Jul 1, 2016factForm ADV
← JAMES CLARENCE GANGERAdvisorregistration: previous registration
Jul 7, 2014 to Jul 1, 2016factForm ADV
← LISA HACHIGIANAdvisorregistration: previous registration
Apr 13, 2016 to Jul 1, 2016factForm ADV
← Donald James SundtAdvisorregistration: previous registration
Jul 7, 2014 to Jul 1, 2016factForm ADV
← Robert TuddaAdvisorregistration: previous registration
Feb 24, 2015 to Jul 1, 2016factForm ADV
← JULIE TARAK ANDERSONAdvisorregistration: previous registration
Dec 2, 2015 to Jul 1, 2016factForm ADV
← MIGUEL A CORRALAdvisorregistration: previous registration
Aug 2, 2012 to Jul 1, 2016factForm ADV
← PHILLIP SHAYNE FONTENOTAdvisorregistration: previous registration
Mar 26, 2013 to Jul 1, 2016factForm ADV
← SANDRA MARIE HOLGUINAdvisorregistration: previous registration
Dec 24, 2013 to Jul 1, 2016factForm ADV
← ANTHONY LAWRENCE HENRYAdvisorregistration: previous registration
Feb 16, 2010 to Jul 1, 2016factForm ADV
← Stephen Craig KucharskiAdvisorregistration: previous registration
Mar 12, 2012 to Jul 1, 2016factForm ADV
← Jon Adam BourgeoisAdvisorregistration: previous registration
Dec 23, 2008 to Jul 1, 2016factForm ADV
← PHU CUONG PHANAdvisorregistration: previous registration
Feb 10, 2006 to Jul 1, 2016factForm ADV
← STEVEN JOHN CARLSONAdvisorregistration: previous registration
Jul 7, 2014 to Jul 1, 2016factForm ADV
← JOSEPH P BARRECAAdvisorregistration: previous registration
Nov 26, 2007 to Jul 1, 2016factForm ADV
← JOHN S SUDRESIANUAdvisorregistration: previous registration
Jun 8, 2015 to Jul 1, 2016factForm ADV
← RYAN JOHN FINCAdvisorregistration: previous registration
Jan 14, 2016 to Jul 1, 2016factForm ADV
← JULIE ANN BENNETTAdvisorregistration: previous registration
Sep 17, 2014 to Jul 1, 2016factForm ADV
← STEVEN MEZZOAdvisorregistration: previous registration
Apr 27, 2015 to Jul 1, 2016factForm ADV
← Kendra Bradford CainAdvisorregistration: previous registration
Aug 12, 2010 to Jul 1, 2016factForm ADV
← ANDREW PATRICK AUGUSTINEAdvisorregistration: previous registration
Mar 23, 2015 to Jul 1, 2016factForm ADV
← JAMES ALLEN ROSSETAdvisorregistration: previous registration
Sep 22, 2014 to Jul 1, 2016factForm ADV
← MICHAEL CARACAPPAAdvisorregistration: previous registration
Aug 22, 2011 to Jul 1, 2016factForm ADV
← TIMOTHY JOHN BAILEYAdvisorregistration: previous registration
Sep 17, 2014 to Jul 1, 2016factForm ADV
← JONATHAN LAWRENCE HURDAdvisorregistration: previous registration
May 21, 2014 to Jul 1, 2016factForm ADV
← BRANDON THOMAS VALDOAdvisorregistration: previous registration
Dec 16, 2011 to Jul 1, 2016factForm ADV
← CHI MAKAdvisorregistration: previous registration
Apr 26, 2010 to Jul 1, 2016factForm ADV
← MICHAEL DAVID VICHUNASAdvisorregistration: previous registration
Dec 23, 2014 to Jul 1, 2016factForm ADV
and 36 more

Moved with (3)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviser2 advisors, team lift out, same day
May 9, 2016 to May 24, 2016factForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviser18 advisors, team lift out, same day
Oct 16, 2015 to Apr 29, 2016factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviser7 advisors, team lift out, same day
Oct 15, 2015 to Oct 22, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:690f54e6-84f9-aee3-2919-dd618bd0ac2d
First observed: Mar 20, 2012
Last observed: Jul 12, 2012 172 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ESSEX NATIONAL SECURITIES, INC.

CRD 25454

NAPA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:690f54e6-84f9-aee3-2919-dd618bd0ac2d

Data as of Jul 12, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:50 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COONEY, JOHN MICHAEL

COO, CHIEF COMPLIANCE OFFICER, CFO, TREASURER, ROSFP

yes

06/2008

Mar 20, 2012

Jul 12, 2012

DAVIS, SCOTT KELSO

CHAIRMAN, CEO, PRESIDENT

yes

06/2012

Mar 20, 2012

Jul 12, 2012

ESSEX NATIONAL HOLDING COMPANY, LLC

Owner

yes

06/2012

Jun 22, 2012

Jul 12, 2012

SAMSON ESSEX LLC

Owner

yes

05/2012

Jun 22, 2012

Jul 12, 2012

WHITE, ANDREW OLEN

Director

yes

06/2012

Jul 12, 2012

ZUCKERBERG, ROY JAY

Owner

yes

06/2012

Jul 12, 2012

BROUS, NILS PER

Owner

06/2012

Jul 12, 2012

GEDDES, WARREN

SENIOR VICE PRESIDENT

04/2007

Mar 20, 2012

Jul 12, 2012

SANKISOV, ELLA

FINANCIAL & OPERATIONS PRINCIPAL

09/2006

Mar 20, 2012

Jul 12, 2012

WATTS, ROBERT HARRIS

Director

11/2006

Mar 20, 2012

Jul 12, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ESSEX NATIONAL SECURITIES, INC.

n/a

Former SEC adviser

$30.8M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 20, 2012

$30.8M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$30.8M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

May 9, 2016

May 24, 2016

NEWTON, NJ

Team lift out

Other

4.1%

OSAIC INSTITUTIONS, INC.

Oct 16, 2015

Oct 14, 2015

NAPA, CA

Team lift out

Other

2.8%

OSAIC INSTITUTIONS, INC.

Oct 16, 2015

Apr 29, 2016

PITTSBURGH, PA

Team lift out

Other

25.4%

INVEST FINANCIAL CORPORATION

Oct 15, 2015

Oct 13, 2015

NAPA, CA

Team lift out

Other

2.5%

INVEST FINANCIAL CORPORATION

Oct 15, 2015

Oct 22, 2015

BRICK, NJ

Team lift out

Other

8.8%