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Independence

As an independent broker dealer committed to staying that way, we understand and support your entrepreneurial vision. We also understand the opportunities and challenges you face as an independent representative and have the experience to guide you with those choices.

We pride ourselves on being a privately owned boutique firm, it allows us to focus more on getting to know our representatives on a personal level. We want to know what your definition of success is and at what pace you want to achieve it. Getting to know our representatives allows us to help you build a more accurate framework of your practice.

Open Architecture

At Essex Securities we want you to choose the solutions that work best for your clients’ unique situations. We have aligned ourselves with highly rated carriers that are well known in the industry for producing competitive results. Our representatives are free to give their clients informed unbiased advice unencumbered from the pressure of sales quotas.

Compliance

What seems to be the trend for most broker dealer compliance departments is that it’s easier to say “No”. Essex Securities doesn’t lend itself to that trend and strives to reduce restrictive friction by working with you to successfully market your practice. Our representatives view us as a collaborative partner, lending valuable insight to help brand their business and strengthen credibilty.

Technology

As a representative of Essex Securities you will be able to leverage state-of-the-art technology through one of the oldest and well respected clearing firms in the industry. Sterne Agee provides everything you need to serve your clients as effectively as possible allowing you user-friendly access to account information, news, research, real-time quotes and more.

Success without Interruption

Transitioning your business doesn't have to be stressful. When you’ve made the decision to join Essex, our dedicated team will assist you with getting licensed, properly registered and transferring your clients’ accounts smoothly and seamlessly.

The basics of the transition process will include:

  • Setting up an introductory and information gathering meeting. Through our online pre-registration forms, we will determine the optimal supervision and transition schedule for your business.
  • A customized transition plan will be created jointly, and we will provide access to our registration tool and dedicated assistance.
  • Your transition liaison will help move your book of business, as well as provide training on key web site tools and systems.
  • Your transition liaison then reviews any outstanding issues and accounts not yet transferred. Your liaison at Essex Securities will be available for continuing support and assistance. If you have questions or are interested in joining Essex Securities please call 800-377-7964 to discuss options.