• 201-777-7121, (212) 624 9200
  • New York, NY 10010


Our Leadership

Prakash Gupta

Chief Executive Officer

Prakash Gupta, CEO, CCO

With over 30 years of executive, trading and technology development experience in the securities, telecommunications and manufacturing industry, Prakash Gupta brings the management skills and expertise needed to meet Essex Advisory’ growth objectives in the new economy of the 21st century.

Previously, Prakash served as Managing Director in various middle market boutique Investment Banks. He worked at Mizuho Corporate Bank overseeing $50B North American Loan and CDO assets and prior to that as head of CDO Analytics for the CDO Trustee Group at BNY Mellon. Prakash also had been a rating analyst for structured products (CLO/CDO) at Fitch Ratings and a software development lead technologist for Motorola. Prior to that, he was CEO of a manufacturing company producing non-ferrous casting in India, catering to automobile, consumer and defense industries.

Prakash has a BS degree in Electronics & Communication Engineering from BIT Sindri, India; a MS in Computer Engineering from the University of Wisconsin-Milwaukee; and a MBA from Kellogg School of Management, Northwestern University.

Prakash holds Series 7, 24, 63 and 66 licenses.

Lloyd Shepetin

Chief Compliance Officer

Lloyd Shepetin, Compliance Officer

Lloyd Shepetin brings more than 35 years of management experience to his position at Essex Advisory. Throughout his career, he has excelled in leadership roles in business development, compliance, risk, marketing, strategic planning,and operations management. He has a proven ability to identify, build, motivate, and manage highly successful teams.

His involvement in a variety of capital markets areas has enabled Lloyd to contribute to the strategic direction of numerous broker dealers, including Prudential Securities, Banc of American Securities, Washington Mutual Capital and Stifel Financial. Lloyd established and implemented policies, goals, objectives and procedures at these dealers that are still in place. Lloyd has a solid record of building and maintaining strong and effective relationships with employees, and customers, throughout his career using a pragmatic approach to getting the required results.

Lloyd has a BA from CUNY Brooklyn College, and has FINRA licenses, Series 7, 9, 10, 24 and 63.

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