Disclosures

Firm Disclosures

Please read the following information about this website

Essex Securities is a broker-dealer registered with the United States Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). Essex Securities maintains securities accounts through a fully disclosed clearing relationship with RBC Correspondent Services.

No Offer of Securities or Investment Services

This website has been published for informational purposes only and is not a solicitation or offer of any security or of any investment service. Certain services described at this website are not available in all countries or in all states of the United States. Essex Securities does not intend the information at this website to be investment advice. The information presented at this website is not necessarily complete and should not be relied upon to make an investment decision.

In addition to the relationships disclosed concerning the subject company(ies), Essex Securities may make a market, deal as principal, have managed or co-managed a public offering, acted as initial purchaser or placement agent for a private placement, performed other investment-banking services, or have a principal or employee acting as a director for any company mentioned in this Site. For securities discussed in our research reports, Essex Securities and its affiliates, principals or employees, including the research analyst covering the particular security when fully disclosed, may have a position in such security or own options, rights, or warrants to purchase such securities.

Disclaimer of Warranty

Essex Securities intends the information provided at this website to be useful, however, Essex Securities does not guarantee the information contained to be accurate, current or suitable for any particular purpose. Essex Securities does not assume any obligation to update information at this website.

Ownership and Limitation of Use

Unless otherwise noted, the information, trademarks, logos and service marks posted at this website are the property of Essex Securities or their respective owners and the posting of such material at this website shall not limit Essex Securities' ownership interests in such material. Users of this website may not sell or republish any portion of this website without the prior written consent of Essex Securities.

Privacy Statement

Essex Securities is committed to safeguarding the confidential information of its clients. We hold all personal information provided to our firm in the strictest of confidentiality. These records include all personal information that we collect from you in connection with any of the services provided by Essex Securities. We only disclose information to nonaffiliated third parties as permitted by law. As you know, we use health and/or financial information that you provide to us to help you meet your personal financial goals while guarding against any real or perceived infringements of your rights of privacy. Our policy with respect to personal information about you is listed below.

How We Protect Information

We limit employee and agent access to information only to those who have a business or professional reason for knowing, and only to nonaffiliated parties as permitted by law. (For example, federal regulations permit us to share a limited amount of information on your behalf so that our firm can discuss your financial situation with your accountant, attorney and other designated professionals). Essex Securities maintains physical and procedural safeguards to protect the security and confidentiality of your information.

Business Continuity Plan

Types of Information We Collect

The categories of nonpublic personal information that we collect from your account applications or other forms, in interviews, or by other means depend upon the scope of the client engagement. It will include information about your personal finances and profile (social security number, annual income and net worth, investment experience), information about your health to the extent that it is needed for the planning process (insurance applications), and information about transactions between you and third parties (trading history and account balances).

Our business continuity plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; bank and counter-party. Essex Securities is a broker-dealer firm and member of the Financial Industry Regulatory Authority (FINRA) since 1994 and is also a member of Securities Investor Protection Corporation (SIPC). Essex Securities has developed a Business Continuity Plan that details how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions are unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us

If after a significant business disruption you cannot contact us as you usually do at info@essexsecurities.com, you should call our alternative number or go to our web site at www.essexsecurities.com. If you cannot access us through either of those means, you should contact our clearing firm, RBC Correspondent Services at, for instructions on how it may ensure that clients have access to their funds and securities in the event there is a significant business disruption. RBC’s plan is designed to address key areas of concern including but not limited to the following services:

Books and records recovery
All mission critical systems
Financial and operational assessments
Alternate physical locations of employees
Critical business constituent, bank and counter-party impact
Regulatory reporting
Communications with regulators

In the event of a significant business disruption, we plan to quickly recover, resume business operations and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to continue to transact business.

Our Business Continuity Plan

In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption. It is the firm’s intent to not have this impact regulatory reporting and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

Our clearing firm, RBC Correspondent Services backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within a one-hour time period. Your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions

Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within a two-hour time period. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within a two-hour time period. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site www.essexsecurities.com or our customer emergency number. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.

For More Information

If you have questions about our business continuity planning, you can contact us at (404) 474-2088 or www.essexsecurities.com

605 Disclosure

Securities and Exchange Commission Rule 605

Securities and Exchange Commission Rule ("SEC") 605 requires market centers that trade National Market System securities to make available to the public monthly electronic reports that include uniform statistical measures of execution quality. These reports are available as electronic data files downloadable in a raw form appropriate for advanced analytics.

SEC Rule 605 Disclosure

“No Covered Orders”

Essex Securities currently executes only institutional and limited client orders exclusively on a not-held basis according to special handling requests by clients. These orders are not covered by SEC rule 605 and do not appear in the monthly statistics therefore we are reporting “no covered orders” at this time. Essex will update this report on a monthly basis as set forth in SEC rule 605.

Access 605 reporting for RBC Correspondent Services under Disclosure of Order Execution and Routing Practices at this link: https://www.rbcwm-usa.com/legal/rbc-cs/cid-319579.html

606 Disclosure

Securities and Exchange Commission Rule 606

Securities and Exchange Commission Rule ("SEC") 606 requires broker dealers that route client orders in certain equity and option securities to make available to the public quarterly reports that represent a general overview of their routing practices. Upon written request, Essex Securities will provide the market center location to which your specific equity and/or option order was routed for execution, and/or a copy of our website information. The most recent quarterly reports are available here.

Access 606 reporting for RBC Correspondent Services under Disclosure of Order Execution and Routing Practices at this link: http://www.rbccorrespondentservices.com/legal/sec-order-handling-disclosure