Prakash Gupta

ESSEX ADVISORY

BROOKLYN, NY 11212

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CRD#: 5784605

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

SG TRADING & SERVICES, MODELING OF FINANCIAL PRODUCTS, 100 CHRISTOPHER COLUMBUS DR, JERSEY CITY, NJ 07302. OWNER/ PROPRIETOR, 35HRS/WK, 9:30AM - 4PM, FINANCIAL ANALYSIS AND MODELING, CONSULTING. SVC ASSET MANAGEMENT LLC,INVESTMENT OF FINANCIAL PRODUCTS, REAL ESTATE 100 CHRISTOPHER COLUMBUS DR, STE 1008, JERSEY CITY, NJ 07302. OWNER/ PRINCIPAL, 5HRS/WK, 0 DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Prakash Gupta's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 22, 2021 - Present

ESSEX ADVISORY

Office #1: 130 Dumont Av Unit 1, Brooklyn, NY 11212

RIA

CRD#: 312140

BROOKLYN, NY

Current

January 16, 2020 - Present

ESSEX SECURITIES LLC

Office #1: 95 Christopher Columbus Dr Suite 16-11, Jersey City, NJ 07302

CRD#: 46605

Jersey City, NJ

Past

June 21, 2018 - September 2, 2020

SAN BLAS SECURITIES LLC

CRD#: 290605

New York, NY

Past

September 13, 2011 - November 21, 2019

IFS SECURITIES

CRD#: 40375

New York, NY

Past

January 26, 2011 - August 26, 2011

CROSS POINT CAPITAL LLC

CRD#: 136223

NEW YORK, NY

Past

May 12, 2010 - January 21, 2011

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/9/2020)

Connecticut
(3/24/2023)

IAR

Florida
(9/2/2022)

Maryland
(10/22/2025)

Michigan
(2/23/2022)

New Jersey
(1/16/2020)

IAR

New Jersey
(2/9/2023)

New York
(7/9/2020)

IAR

New York
(4/13/2022)

North Carolina
(3/5/2021)

Texas
(6/5/2024)

Vermont
(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

State Security Law Exam

IAR

Series 66

Date: 11/9/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/6/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 9/8/2022

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 57TO

Date: 8/2/2021

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/11/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/9/2020

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ESSEX ADVISORY

ESSEX ADVISORY | ESSEX ADVISORY LLC

CRD#: 312140 / SEC#: 801-120189

RIA

Registered Investment Advisory firm - (9/6/2022 Terminated)

Florida

Registered Investment Advisory firm - (9/2/2022 Approved)

New Jersey

Registered Investment Advisory firm - (2/9/2023 Approved)

New York

Registered Investment Advisory firm - (6/22/2022 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

130 Dumont Av Unit 1, Brooklyn, NY 11212

Mailing Address

Po Box 3602, Jersey City, NJ 07302

Phone number

(201) 850-3364

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 7,830,000

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.

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Advisor Monitoring

Firm Stability Insights

Prakash Gupta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Prakash Gupta's CRS (Customer Relationship Summary).

Certified licenses

Experience

ESSEX SECURITIES LLC

SAN BLAS SECURITIES LLC

IFS SECURITIES

CROSS POINT CAPITAL LLC

ADVISORS ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/9/2020

Series 63

Date: 7/6/2010

Series 79TO

Date: 9/8/2022

Series 57TO

Date: 8/2/2021

SIE

Date: 10/1/2018

Series 7

Date: 5/11/2010

Series 24

Date: 9/9/2020

FINRA

Current Firm

ESSEX ADVISORY

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ESSEX ADVISORY

TRUST BUT VERIFY

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