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James David Baga

Essex Private Wealth Management LLC

Topsfield, MA

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Current Employers
Essex Private Wealth Management Llc

7 Grove Street Suite 201, Topsfield, MA 01983 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2016-08-26
  • MA RA
    APPROVED
    Since 2016-08-26

Branch Locations

7 Grove Street Suite 201, Topsfield, MA 01983 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Huntwicke Advisors, Llc Topsfiled MA 08/2016 Present
Huntwicke Securities, Llc (F/K/A Phalanx Trading, Llc) Topsfield MA 08/2016 Present
  • 08/2016 → Present
    Huntwicke Advisors, Llc
    Topsfiled, MA
  • 08/2016 → Present
    Huntwicke Securities, Llc (F/K/A Phalanx Trading, Llc)
    Topsfield, MA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-07-11
S63 Uniform Securities Agent State Law Examination 1993-11-19
  • S65 Uniform Investment Adviser Law Examination
    2008-07-11
  • S63 Uniform Securities Agent State Law Examination
    1993-11-19
Other Names
  • Jim Baga

View on SEC IAPD

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Other Offices

PARK AVENUE SECURITIES LLC · TOPSFIELD, MA
HARBOR ISLAND CAPITAL LLC · TOPSFIELD, MA
NOVEM GROUP · TOPSFIELD, MA
NOVEM GROUP · TOPSFIELD, MA
LPL FINANCIAL LLC · TOPSFIELD, MA
TAPPARO CAPITAL MANAGEMENT · TOPSFIELD, MA
APELLA WEALTH · Topsfield, MA
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