James Walter Hartwell

Current Employers

Essex Llc

21805 Field Parkway Suite 340, Deer Park, IL 60010 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2022-07-14
IL	RA	APPROVED	2015-01-12

TX RA
APPROVED_RES

Since 2022-07-14
IL RA
APPROVED

Since 2015-01-12

Branch Locations

21805 Field Parkway Suite 340, Deer Park, IL 60010 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Essex, Llc	Buffalo Grove	IL	01/1997	Present

01/1997 → Present

Essex, Llc

Buffalo Grove, IL

Previous Registrations

2001-02-07 → 2014-12-31

Essex Llc

Deer Park, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-03-03

S65 Uniform Investment Adviser Law Examination

1994-03-03

View on SEC IAPD

Current Employers

Essex Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

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