Abraham J. Esses
Professional summary
Abraham Joshua Esses, who also goes by Abe Joshua Esses, Abe Esses, is a registered financial professional currently at NORTH CAPITAL PRIVATE SECURITIES CORPORATION located in Salt Lake City, Utah.
Abraham is registered as a RR (Registered Representative) and started their career in finance in 2011. Abraham has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Abraham Joshua Esses's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 26, 2025 - Present
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
Office #1: 623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047December 11, 2023 - May 20, 2024
AEL FINANCIAL SERVICES, LLC
June 6, 2023 - October 5, 2023
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
January 24, 2020 - June 9, 2021
AEL FINANCIAL SERVICES, LLC
May 3, 2019 - February 17, 2020
PALMER CAPITAL ADVISORS, LLC
March 15, 2019 - May 6, 2019
LOCKTON INVESTMENT SECURITIES, LLC
April 1, 2011 - June 2, 2011
NATIONAL SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/26/2025)
(9/26/2025)
Exams
Series 79TO
Date: 3/15/2019
Investment Banking Registered Representative ExaminationFINRA
Current Firm
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
CRD#: 154559 / SEC#: , 8-68648
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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