Peter E. Mulholland

ESSEX PRIVATE WEALTH MANAGEMENT LLC

Topsfield, MA 01983

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CRD#: 2213796

Professional summary

Peter Earl Mulholland is a registered financial advisor currently at ESSEX PRIVATE WEALTH MANAGEMENT LLC located in Topsfield, Massachusetts and HUNTWICKE SECURITIES, LLC located in Topsfield, Massachusetts.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Peter has worked at 5 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 6 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.

VALLEY VIEW FARM; NOT INVESTMENT RELATED; 278 HIGH STREET, TOPSFIELD, MA; FARMING;MILK GOATS AND MAKE CHEESE; OWNER; 04/1996; 15 HRS/MONTH; 0 HRS DURING TRADING HOURS; DAIRY BUSINESS; CO-MANAGE FAMILY FARM WITH MY WIFE. Huntwicke Advisors, LLC INVESTMENT RELATED 7 GROVE STREET TOPSFIELD, MA 01983 FEE BASED INVESTMENT ADVISORY FIRM ADVISOR SINCE APRIL 2009 SPEND APPROXIMATELY 30 HOURS PER WEEK DURING TRADING HOURS. PROVIDE FEE BASED INVESTMENT ADVICE TOWN OF TOPSFIELD, MA 8 W. COMMON ST. TOPSFIELD, MA 01983 NOT INVESTMENT-RELATED. MUNICIPALITY. ANIMAL INSPECTOR. MAY 2015. APPROXIMATELY 2 HRS/WK. NOT DURING BUSINESS HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Earl Mulholland'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

November 30, 2011 - Present

ESSEX PRIVATE WEALTH MANAGEMENT LLC

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

RIA

CRD#: 149991

Topsfield, MA

Current

May 24, 2017 - Present

HUNTWICKE SECURITIES, LLC

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

CRD#: 146993

Topsfield, MA

Past

April 13, 2009 - January 13, 2016

HUNTWICKE SECURITIES, LLC

CRD#: 146993

Topsfield, MA

Past

April 27, 2005 - March 28, 2007

FIDELITY PERSONAL TRUST COMPANY, FSB

RIA

CRD#: 109516

MERRIMACK, NH

Past

January 18, 1994 - April 8, 2009

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

MERRIMACK, NH

Past

February 27, 1992 - April 8, 2009

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MERRIMACK, NH

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
(11/30/2011)

Massachusetts
(5/24/2017)

IAR

Texas
(4/13/2018)

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: 3/4/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/10/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/9/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/26/1992

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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Peter E. Mulholland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Earl Mulholland's CRS (Customer Relationship Summary).

Certified licenses

Experience

HUNTWICKE SECURITIES, LLC

HUNTWICKE SECURITIES, LLC

FIDELITY PERSONAL TRUST COMPANY, FSB

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

ESSEX PRIVATE WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/4/1994

Series 63

Date: 3/10/1992

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/9/1993

Series 6

Date: 2/26/1992

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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