James T. Barker

APELLA WEALTH

Topsfield, MA 01983

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CRD#: 1622909

Professional summary

James Theodore Barker is a registered financial advisor currently at APELLA WEALTH located in Topsfield, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. James has worked at 6 firms and has passed the Series 63, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Theodore Barker's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 10, 2025 - Present

APELLA WEALTH

Office #1: 10 South Main Street Suite 104, Topsfield, MA 01983

RIA

CRD#: 171106

Topsfield, MA

Past

July 8, 2000 - October 17, 2003

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

July 24, 1998 - July 8, 2000

POLARIS FINANCIAL SERVICES, INC.

CRD#: 14521

CONCORD, NH

Past

January 4, 1998 - March 27, 2025

BARKER FINANCIAL GROUP, INC.

RIA

CRD#: 116817

TOPSFIELD, MA

Past

April 30, 1997 - July 24, 1998

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

February 25, 1987 - May 1, 1997

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

APELLA WEALTH

APELLA CAPITAL | APELLA WEALTH | APELLA CAPITAL, LLC

CRD#: 171106 / SEC#: 801-79650

RIA

Registered Investment Advisory firm - (4/29/2014 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(1/10/2025)

IAR

Massachusetts
(1/17/2025)

IAR

Texas
(6/3/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/25/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/18/1995

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 11/6/1987

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/24/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/3/1998

General Securities Principal Examination

Current Firm

APELLA WEALTH

APELLA CAPITAL | APELLA WEALTH | APELLA CAPITAL, LLC

CRD#: 171106 / SEC#: 801-79650

RIA

Registered Investment Advisory firm - (4/29/2014 Approved)

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Contact information

Main Address

65 Memorial Drive Suite C340, West Hartford, CT 06107

Mailing Address

Phone number

(860) 785-2260

Established

Firm type

Fiscal year end

# of Employees

140

SEC notice filing (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APELLA WEALTH PART 2A OCTOBER 2025 (10/28/2025)

Regulatory assets under management

Total Number of Accounts	19,172
AUM (Assets Under Management)	$ 7,953,076,688

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
03/29/2024	Cover Page	Report
04/30/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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James T. Barker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Theodore Barker's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC FS, INC.

POLARIS FINANCIAL SERVICES, INC.

BARKER FINANCIAL GROUP, INC.

NATHAN & LEWIS SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

Primary Firm SEC Registration

APELLA WEALTH

State Registrations and Notice Filings

Exams

Series 63

Date: 2/25/1987

Series 7

Date: 7/18/1995

Series 22

Date: 11/6/1987

Series 6

Date: 2/24/1987

Series 24

Date: 3/3/1998

Current Firm

APELLA WEALTH

Contact information

SEC notice filing (44 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

APELLA WEALTH

TRUST BUT VERIFY

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