Full text of ESSEX SECURITIES LLC's X-17A-5 filed 2023-03-31 (period 2022-12-31). 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, 2022 {1}------------------------------------------------ **UNITED STATES S£CU~ITIES AND** EXCHANGE **COMMISSION** Washington, 0.C. **20S49** 0 MB APPROVAL \_ 0 MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: l 2 | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART Ill | | SEC FILE NUMBER | |-----------------| | 8-51472 | FACING PAGE lnformation Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act o-f 1934 | l=IUNG FOR THE PERIOD BEGINNING | ___<br>__<br>0_l_/0_l_/2_2 | AND ENOING | ___<br>__<br>2<br>l_2/_3_Il_2_<br>_ | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------|----------------------------------------------| | | MM/DD/VY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | Essex Securities LLC<br>NAME OF FIRM: | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>l&J Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | | □ Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 95 Christopher Columbus Dr., Suite 16-11 | | | | | | (No. and Street) | | | | Jersey City | NJ | | 07302 | | (City) | (State) | | (Zip Code.) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Prakash Gupta | 20 I-777-7121 | | pgupta@essexsecurities.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>TPS Thayer LLC | (Name - if individual, state last, first, and middle name) | | | | | | | | | 1600 Highway 6, Suite 100<br>(Address) | Sugar Land<br>(City) | TX | 77478.<br>(Zip Code)<br>(State) | | | | | | | 07/14/2020<br>(Date of Registration with PCAOB)(if applicable) | | 6706 | (PCAOB Re11.istration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports ofan independent public | |…Read the full text as markdown