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JH

John E. Hendrix

Some features on this profile are disabled
CRD#: 5148758
JH

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John E Hendrix, who also goes by John Emerson Hendrix, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2006. John had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Emerson Hendrix

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 29, 2023 - September 30, 2024

ESSEX SECURITIES LLC

BD
CRD#: 46605
JERSEY CITY, NJ
Past

April 24, 2020 - April 3, 2023

BANKERS LIFE SECURITIES, INC.

BD
CRD#: 173962
CORDOVA, TN
Past

March 19, 2018 - July 9, 2018

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
ATLANTA, GA
Past

December 16, 2015 - January 27, 2016

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
Cordova, TN
Past

November 13, 2015 - February 23, 2017

CENTRAL FIXED INCOME SERVICES, LLC

BD
CRD#: 124701
JEFFERSON CITY, MO
Past

April 20, 2015 - October 1, 2015

IFS SECURITIES

BD
CRD#: 40375
ATLANTA, GA
Past

May 12, 2014 - June 5, 2014

MULTI-BANK SECURITIES, INC.

BD
CRD#: 22098
SOUTHFIELD, MI
Past

October 1, 2013 - January 17, 2014

HILLTOP SECURITIES INC.

BD
CRD#: 6220
MEMPHIS, TN
Past

June 14, 2012 - August 8, 2013

AUSTIN ATLANTIC CAPITAL INC.

BD
CRD#: 43981
MEMPHIS, TN
Past

March 16, 2010 - July 15, 2011

NYLIFE SECURITIES LLC

BD
CRD#: 5167
MEMPHIS, TN
Past

November 5, 2009 - February 9, 2010

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
GERMANTOWN, TN
Past

April 16, 2008 - January 12, 2009

ALLUVION SECURITIES, LLC

BD
CRD#: 143623
MEMPHIS, TN
Past

August 31, 2006 - February 15, 2008

CARTY, HARDING & HEARN, INC.

BD
CRD#: 7001
MEMPHIS, TN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/11/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/9/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/29/2006
General Securities Representative Examination

Current Firm

ES
ESSEX SECURITIES LLC
EASTERN POINT DISTRIBUTORS, LLC | INVESTORS MARKETING WHOLESALE SERVICES | INVESTORS MARKETING SERVICES | FIRST ESSEX SECURITIES, LLC. | ESSEX SECURITIES LLC

CRD#: 46605 / SEC#: , 8-51472

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
95 Christopher Columbus Dr Suite 16-11, Jersey City, NJ 07302
Mailing Address
Po Box 3602, Jersey City, NJ 07303-3602
Phone number
(201) 777-7121
Established
Massachusetts since 12/27/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ES GROUP, INCOWNER
BEATON, DANIEL STEWARTFINOPS4240769
GUPTA, PRAKASHCHIEF EXECUTIVE OFFICER5784605
SHEPETIN, LLOYD ECHIEF COMPLIANCE OFFICER1263121

Disclosures

Regulatory Event3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ESSEX SECURITIES LLC

CRD#: 46605

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