Prakash Gupta
Professional Summary
Prakash Gupta is a registered financial advisor currently at ESSEX ADVISORY located in Brooklyn, New York and ESSEX SECURITIES LLC located in Jersey City, New Jersey. Prakash is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Prakash has worked at 6 firms and has passed the Series 66, Series 63, Series 79TO, Series 57TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
16 years in the financial services industry
Current & Past Employments
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Current Firm
ESSEX ADVISORY | ESSEX ADVISORY LLC
Contact Information
Main Address
130 Dumont Av Unit 1, Brooklyn, NY 11212Mailing Address
Po Box 3602, Jersey City, NJ 07303Phone Number
(201) 850-3364# of Employees
2Regulatory Assets Under Management
Total Number of Accounts
13AUM (Assets Under Management)
$9,295,484Similar Advisors
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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.
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State Registrations and Notice Filings
(7/9/2020)
(1/23/2026)
(3/24/2023)
(9/2/2022)
(10/22/2025)
(2/23/2022)
(1/16/2020)
(2/9/2023)
(7/9/2020)
(4/13/2022)
(3/5/2021)
(6/5/2024)
(3/10/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Sep 2022About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Prakash Gupta's CRS (Customer Relationship Summary).
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