James R. Femia

APELLA WEALTH

Marblehead, MA 01945

Some features on this profile are disabled

CRD#: 2243133

Professional summary

James R Femia, who also goes by James Richard Femia, is a registered financial advisor currently at APELLA WEALTH located in Marblehead, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Richard Femia

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 R Femia'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

October 1, 2015 - Present

APELLA WEALTH

Office #1: 4 Atlantic Avenue, Marblehead, MA 01945

RIA

CRD#: 171106

Marblehead, MA

Past

October 1, 2015 - February 6, 2019

SYMMETRY PARTNERS

RIA

CRD#: 120982

Marblehead, MA

Past

November 29, 2007 - October 7, 2009

SENTINEL SECURITIES, LLC.

CRD#: 110942

WAKEFIELD, MA

Past

June 25, 2004 - September 24, 2015

SENTINEL PENSION ADVISORS, LLC.

RIA

CRD#: 109901

WAKEFIELD, MA

Past

October 15, 1996 - August 2, 2004

CABOT WEALTH MANAGEMENT

RIA

CRD#: 107327

SALEM, MA

Past

January 21, 1994 - February 8, 1995

IFMG SECURITIES, INC.

CRD#: 14416

Past

June 22, 1992 - January 24, 1994

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

Past

June 22, 1992 - January 24, 1994

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

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
(10/1/2015)

IAR

Massachusetts
(11/12/2015)

IAR

Texas
(12/15/2016)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/15/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/18/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/22/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/20/1992

Investment Company Products/Variable Contracts Representative 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James R. Femia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James R Femia's CRS (Customer Relationship Summary).

Certified licenses

Experience

SYMMETRY PARTNERS

SENTINEL SECURITIES, LLC.

SENTINEL PENSION ADVISORS, LLC.

CABOT WEALTH MANAGEMENT

IFMG SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

APELLA WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 8/15/1996

Series 63

Date: 7/18/1992

Series 7

Date: 11/22/1996

Series 6

Date: 6/20/1992

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

Contact information

Similar Advisors