James D. Baga

ESSEX PRIVATE WEALTH MANAGEMENT LLC

Topsfield, MA 01983

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CRD#: 1691122

Professional summary

James David Baga, who also goes by Jim Baga, is a registered financial advisor currently at ESSEX PRIVATE WEALTH MANAGEMENT LLC located in Topsfield, Massachusetts and HUNTWICKE SECURITIES, LLC located in Topsfield, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. James has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Baga

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 David Baga'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

August 26, 2016 - Present

ESSEX PRIVATE WEALTH MANAGEMENT LLC

Office #1: 7 Grove Street Suite 201, Topsfield, MA 01983

RIA

CRD#: 149991

Topsfield, MA

Current

September 7, 2016 - Present

HUNTWICKE SECURITIES, LLC

Office #1: 7 Grove Street Suite 201, Topsfield, MA 01983

CRD#: 146993

Topsfield, MA

Past

October 15, 2013 - August 26, 2016

SENTINEL PENSION ADVISORS, LLC.

RIA

CRD#: 109901

WAKEFIELD, MA

Past

October 8, 2013 - August 26, 2016

SENTINEL SECURITIES, LLC.

CRD#: 110942

Wakefield, MA

Past

July 14, 2008 - September 20, 2013

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

MERRIMAC, MA

Past

September 4, 2007 - September 19, 2013

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

CAMBRIDGE, MA

Past

July 27, 1994 - August 30, 2007

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

MARLBOROUGH, MA

Past

November 12, 1993 - July 22, 1994

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

July 9, 1992 - December 2, 1993

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

Past

July 13, 1987 - July 19, 1988

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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".

ESSEX PRIVATE WEALTH MANAGEMENT LLC

ESSEX PRIVATE WEALTH MANAGEMENT LLC | PHALANX WEALTH MANAGEMENT, LLC | PHALANX PARTNERS | HUNTWICKE ADVISORS, LLC | ESSEX PRIVATE WEALTH MANAGEMENT, LLC

CRD#: 149991 / SEC#: 801-108702

RIA

Registered Investment Advisory firm - (11/22/2016 Approved)

New Hampshire

Registered Investment Advisory firm - (11/8/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Massachusetts
(8/26/2016)

Massachusetts
(9/7/2016)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/11/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/27/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/6/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ESSEX PRIVATE WEALTH MANAGEMENT LLC

ESSEX PRIVATE WEALTH MANAGEMENT LLC | PHALANX WEALTH MANAGEMENT, LLC | PHALANX PARTNERS | HUNTWICKE ADVISORS, LLC | ESSEX PRIVATE WEALTH MANAGEMENT, LLC

CRD#: 149991 / SEC#: 801-108702

RIA

Registered Investment Advisory firm - (11/22/2016 Approved)

New Hampshire

Registered Investment Advisory firm - (11/8/2016 Terminated)

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Contact information

Main Address

7 Grove Street Suite 201, Topsfield, MA 01983

Mailing Address

Phone number

(978) 887-5981

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ESSEX DISCLOSURE BROCHURE, SUPPLEMENTS AND PRIVACY POLICY (6/11/2025)

Regulatory assets under management

Total Number of Accounts	762
AUM (Assets Under Management)	$ 293,647,777

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James D. Baga

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James David Baga's CRS (Customer Relationship Summary).

Certified licenses

Experience

HUNTWICKE SECURITIES, LLC

SENTINEL PENSION ADVISORS, LLC.

SENTINEL SECURITIES, LLC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ESSEX PRIVATE WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/11/2008

Series 63

Date: 11/19/1993

SIE

Date: 10/1/2018

Series 7

Date: 3/27/2009

Series 6

Date: 7/6/1992

FINRA

Current Firm

ESSEX PRIVATE WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ESSEX PRIVATE WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

Contact information

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