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Investment Adviser Firm Summary

ESSEX NATIONAL SECURITIES, LLC (CRD# 25454 / SEC# 8-41750 )
Alternate Names: ESSEX NATIONAL SECURITIES, INC. , ESSEX NATIONAL SECURITIES, LLC


The investment adviser you have selected is NOT currently registered and is NOT filing reports with the SEC or any state.

(Last Form ADV Filed On 06/02/2016)
This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Terminated 08/30/2012
Arkansas Terminated 03/20/2008
California Terminated 08/14/2016
Connecticut Terminated 06/04/2010
Florida Terminated 06/04/2010
Louisiana Terminated 07/15/2016
Maryland Terminated 07/07/2010
Massachusetts Terminated 06/04/2010
Michigan Terminated 07/15/2016
Minnesota Terminated 08/03/2016
New Jersey Terminated 07/15/2016
New York Terminated 07/15/2016
Ohio Terminated 06/04/2010
Pennsylvania Terminated 07/15/2016
Texas Terminated 07/15/2016
Washington Terminated 08/15/2016

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


Not Currently Notice Filed


EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser