Full text of ESSEX SECURITIES LLC's X-17A-5 filed 2022-03-17 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # ESSEX SECURITIES LLC # FINANCIAL STATEMENT AND REPORT OF INDEPENDENT REGISTERERED PUBLIC ACCOUNTING FIRM Pursuant to Rule 17a-5(d} of the Securities and Exchange Commission For the Year Ended December 31, 2021 {1}------------------------------------------------ #### UNITED STATES . **SECURITIES AND EXCHANGE COMMISSION Washington,** D.C. **20549** | 0MB APPROVAL<br>0MB Number: 3235-0123 | |---------------------------------------| | E~pires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | |-----------------| | 8-51472 | #### **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | ---------<br>O 1/01/21 | AND ENDING | 12/31/21 | ---------- | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------|------------------------------------------------------------|----------|--------------------------------------------| | | MM/00 /Y Y | | | MM/00/YY | | | A. REGISTRANT IDENTIFICATION | | | | | Essex. Securities LLC<br>NAME OF FIRM: | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>I[] Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 95 Christopher Columbus Dr., Suite 16-1 l | | | | | | | (No. aod Street) | | | | | Jersey City | NJ | | 07302 | | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Prakash Gupta | 201-777-7121<br>pgupta@essexsecurities.com | | | | | (Name) | (Area Code - Telephone Number)<br>(Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Cree Alessandri & Strauss CPAs LLC | | | | | | | | (N~me - if indfvidual, state last, first, and middle name) | | | | 20 Walnut St., Suite 301 | Wellesley | | MA | 02481 | | (Addre~s) | (City) | | (State) | (Zip Code) | | I0/30/2018 | | | 6566 | | | (Date of Re~istration with PCAOBl(if applicable) | | | | (PCAOB Registra\lon Number, if applicable} | | | FOR OFFICIAL USE…Read the full text as markdown