By your side for more than 20 years
Financial strategies designed to help prepare you for your next step.
Stocks & Fixed Income
Create diversified portfolios through investments in equities that provide dividend income, potential growth in value, and a degree of risk appropriate for each individual investor’s desires.
Mutual Funds provide investment opportunities for almost any type of investor, from first time investors, to those who want diversification within specific types of investments. Mutual funds can be found that offer money market assets, or fixed income debt assets, and balanced funds that provide a mix of investment types.
To provide a tax-advantaged method for investors to set aside money for retirement.
Traditional IRA: contributions may be tax-deductible and account assets grow on a tax-deferred basis
Roth IRA: while contributions are not tax-deductible, account assets grow on tax-deferred basis and earnings may be withdrawn tax-free in retirement
Employer Sponsored IRAs: SEPs and SIMPLEs
Enjoy the peace of mind that comes with addressing financing goals before life style changes occur. Insurance types are available to address the ever changing needs of individuals, families and investors of all levels.
Derivatives defined clearly so investors can better understand stock options, where contracts are written that gives an investor the right, but not the obligation, to buy or sell an equity at a specific price in the future. That price “derived” from the expected value of the stock by that future date.
Asset Management is an important aspect of investments. We develop, maintain, buy and sell assets to provide a balanced portfolio for our clients. This is performed in close association with the investor to accommodate their preferences.
E1 Asset Management will design the portfolio that's just right for your investment needs. We offer: comprehensive management for your entire portfolio, IRA management, non-retirement account management, insurance, and many other types of investment accounts.
Investment & Market Leaders
E1 Asset Management is a full-service brokerage firm. We've been serving investors like you for over 20 years. Our firm has no market holdings of our own, meaning we're solely focused on your investments and your success.
We can execute trades for you and provide dedicated, one-on-one guidance when it comes to investment recommendations. Our brokers are exceptionally responsive. We're here to serve you.
Frequently Asked Questions
Where are you located?
E1 Asset Management maintains its headquarters at 185 Hudson Street in Jersey City's financial district. We also have a branch office located in Alexandria, VA as well as brokers situated in NY, NJ, and PA.
What are your hours of operation?
Monday through Friday, 8:00 am to 4:00 pm Eastern Standard Time.
Is E1 Asset Management an agency-only firm? If so, what does that mean for me as an investor?
Yes, E1 is an agency-only firm. As such, we don't maintain inventories of securities or perform market-making activities as a firm. This means we exclusively go into the market and execute trades for our clients, and our financial professionals receive no financial incentives to choose one investment over another. In other words, we're focused on you and your investments.
Which securities regulatory bodies are responsible for providing oversight?
E1 Asset Management is a member of the Financial Industry Regulatory Authority (FINRA). FINRA is not a government organization - it's a self-regulatory organization. You can locate E1 on FINRA's website (www.finra.org) using our CRD Number (46872) and any of our registered investment professionals via name and individual CRD number. The United States Securities and Exchange Commission (SEC), an independent federal agency authorized by Congress, also governs professional investment activities. You can learn more about its role at its website (www.sec.gov).
Who is Axos Clearing and what is your relationship with them?
AXOS Clearing LLC, acts as our clearing firm and holds all customer securities and funds. Our clearing relationship with AXOS allows us to offer our clients valuable services, such as online access to view accounts and debit card/check-writing privileges. You can obtain more information about AXOS Clearing on its website (www.axosclearing.com).
Can I purchase International (non-U.S.) shares through E1? If so, how does this work?
The shares of many large-capitalization companies are available as American Depository Receipts (ADRs). For further information, contact your investment representative. However, if these are unavailable or you would prefer the stock in the country of origin, options are available for those nations that have diplomatic relations with the United States including (but not limited to): England, Australia, Israel, Italy, Japan, Singapore, France, Germany, Hong Kong, and China. Please contact us about availability and applicable charges.
Do you offer online account access?
Through our relationship with AXOS Clearing, we offer clients online access to view their accounts. Clients can view balances, activity, and holdings in real-time.
Are they any privacy issues associated with having an account with E1 Asset Management?
We take our clients' privacy concerns very seriously. We do not sell names, addresses, phone numbers, or other contact information to any business listing services. As a further safeguard, all of our accounts are held in "street name," unless specifically requested otherwise. This means that shares are not held in your name for the public record but under a number. This not only keeps your personal or corporate information off of databases for sale but also helps facilitate the transfer of shares at the time of sale, as no exchange of certificates is needed. Holding securities in street name is also mandatory when trading on margin or in a margin account.
Why do you need all this information (passport, tax form, etc.) from me to open an account?
E1 Asset Management appreciates the importance of being in compliance with all appropriate banking and regulatory bodies. Since September 11th, 2001 and the subsequent passage of the Patriot Act, international banking and securities laws have become more stringent, requiring that transactions have greater transparency for regulatory and law enforcement authorities. Clients are not required to submit a valid Government ID or Passport containing a photo and supporting documentation. Our clients' privacy is paramount, and such information will not be shares with any outside entities (with the exception of Federal or State authorities, pursuant to a valid subpoena).
When is a settlement or when are funds due for purchase?
The Federal Reserve sets our settlement times in conjunction with the applicable SRO. These times can vary from next day to five business days, depending on the nature of the transaction and the status of the account. Please contact your investment professional for a full schedule detailing allotted transactions and subsequent settlement dates.
What contingency or business continuity plans does E1 Asset Management have in place?
As we all know, unforeseen calamities are an unfortunate part of life. In the event of a disruption in the markets or our operations, our first step will be to reallocate resources and personnel to a safe location. E1 maintains two undisclosed locations in the tri-state area, outside the confines of New York City. Both facilities are equipped with state-of-the-art technology and can comfortably accommodate our leadership and supporting personnel. (Learn more about our Business Continuity Plan).