Full text of ESSEX SECURITIES LLC's X-17A-5 filed 2024-03-29 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response: 12 | |---------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------|-----------------|------------------------------------------------------------------------------------------------------------------------| | | ANNUAL REPORTS | | SEC FILE NUMER | | | FORM X-17A-5 | | 8-51472 | | | PART III | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 4934 | FACING PAGE | | | | FILING FOR THE PERIOD BEGINNING | 01/01/23 : 11 | AND ENDING | 12/31/23 | | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | Essex Securities LLC<br>NAME OF FIRM: | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | Security-based swap 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 | 201-777-7121<br>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 | Sugar Land | X | 77478 | | (Address) | (City) | (State) | (Zip Code) | | 07/14/2020 | | 6706 | | | (Date of Registration with PCAOB)(if applicable)<br>FOR OFFICIAL USE ONLY | | | (PCAOB Registration Number, if applicable) | | | | | | | * Claims for exemption from the requirement that the annual reports of an independent public | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 | CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form dis…Read the full text as markdown