Unclaimed Profile

John William Rafal

ESSEX FINANCIAL SERVICES, INC.·ESSEX, Connecticut

SIE, Series 1, Series 7, Series 24, Series 6330 years registeredESSEX FINANCIAL SERVICES, INC.

176 WESTBROOK ROAD, ESSEX, CT 06426CRD# 809031Firm CRD# 127549

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

John William Rafal · ESSEX, CT

Registration

CRD #809031 · ESSEX FINANCIAL SERVICES, INC. · 30 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: ESSEX FINANCIAL SERVICES, INC.

ESSEX FINANCIAL SERVICES, INC.

Dec 2003 – Dec 2015

ESSEX, CT

RAYMOND JAMES FINANCIAL SERVICES

Feb 1996 – Dec 2003

ESSEX, CT

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 7

Series 24

Series 63

Registration record

First registered · February 5, 1996

Years registered · 30

Disclosure History

2017Criminal·Final Disposition

2017Regulatory·Final

2016Regulatory·Final

2015Regulatory·Final

4 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

ESSEX FINANCIAL SERVICES, INC.

CRD 127549 · SEC 801-62242

AUM

$3.8B

Regulatory assets under management

Employees

6,985 client accounts

Services offered by ESSEX FINANCIAL SERVICES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ESSEX FINANCIAL SERVICES, INC. →

Introduction

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Frequently Asked Questions

What services does John William Rafal offer?

John William Rafal specializes in Financial Planning, Investment Management, Wealth Management.

What are John William Rafal's credentials?

John William Rafal is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is John William Rafal located?

John William Rafal is based in ESSEX, Connecticut, last registered with ESSEX FINANCIAL SERVICES, INC..

How does John William Rafal charge for services?

John William Rafal's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ESSEX FINANCIAL SERVICES, INC.?

ESSEX FINANCIAL SERVICES, INC. has approximately 45 employees and manages $3.8B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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