BW
Brian A. Woodland
ESSEX PRIVATE WEALTH MANAGEMENT LLC
Topsfield, MA 01983
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CRD#: 2263508
BW
Professional summary
Brian Andrew Woodland is a registered financial advisor currently at ESSEX PRIVATE WEALTH MANAGEMENT LLC located in Topsfield, Massachusetts and HUNTWICKE SECURITIES, LLC located in Topsfield, Massachusetts.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Brian has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 22, Series 14, Series 9, Series 10, Series 24 and Series 8 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.
1) Manager, Huntwicke Financial, Inc. (f/k/a Magnolia Lane Financial), an owner and manager of various commercial properties. 7 Grove St., Topsfield, MA 01983. Start date January 2014; 10 hrs./month; 0 hrs. during trading hours. Investment related. 2) President, Huntwicke Capital Group, the holding company of Huntwicke Securities, LLC, Ipswich Brewery Partners, Mercury Brewing and Distribution Co. (a beer brewery), Essex Private Wealth Management, LLC, and Skillz Check Soccer (youth soccer training). This holding co. has no business operations, but Mr. Woodland participates in the management of the underlying entities, including overseeing business decisions affecting each entity. All of his duties in that capacity are not investment related and are uncompensated. 7 Grove Street, Topsfield MA, 01983. Start date December 2009; varying hours/week, up to approximately 14 hours during trading hours. 3) Manager, Ipswich Brewery Partners, a commercial real estate rental company. 7 Grove Street, Topsfield MA, 01983. Duties include authorizing leases and rental-related activities. Start date March 2019; 4 hrs/week, 0.5 hrs during trading hours. Investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Andrew Woodland's 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®
NoneExperience
Current
September 9, 2009 - Present
ESSEX PRIVATE WEALTH MANAGEMENT LLC
Office #1: 7 Grove Street Suite 201, Topsfield, MA 01983RIA
CRD#: 149991
Topsfield, MA
Current
October 9, 2008 - Present
HUNTWICKE SECURITIES, LLC
Office #1: 7 Grove Street Suite 201, Topsfield, MA 01983BD
CRD#: 146993
Topsfield, MA
Past
April 10, 2006 - July 30, 2008
WOODLAND ASSET MANAGEMENT, LLC
RIA
CRD#: 140090
TOPSFIELD, MA
Past
December 9, 2005 - April 28, 2006
WINSLOW, EVANS & CROCKER, INC.
RIA
CRD#: 29686
BOSTON, MA
Past
September 14, 2005 - April 28, 2006
WINSLOW, EVANS & CROCKER, INC.
BD
CRD#: 29686
BOSTON, MA
Past
July 17, 2000 - September 19, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 1, 1998 - August 9, 2000
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
August 12, 1996 - July 1, 1998
FINANCIAL SQUARE PARTNERS
BD
CRD#: 1541
NEW YORK, NY
Past
September 8, 1993 - September 13, 1996
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
August 28, 1992 - October 27, 1992
WINTHROP SECURITIES CO., INC.
BD
CRD#: 6925
BOSTON, MA
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".
EP
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)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.RR
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
RR
Colorado(6/7/2023)
RR
Connecticut(3/12/2012)
RR
Florida(3/16/2009)
RR
Massachusetts(10/9/2008)
IAR
Massachusetts(9/9/2009)
RR
Nevada(1/23/2023)
RR
New Hampshire(2/18/2011)
RR
New Mexico(6/23/2020)
RR
Ohio(9/2/2020)
RR
Rhode Island(3/29/2022)
RR
Texas(10/13/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/8/1996
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
EP
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)Upgrade to AdvisorCheck Premium
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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
5
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 762 |
| AUM (Assets Under Management) | $ 293,647,777 |
Red Flags
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Company Information
ESSEX PRIVATE WEALTH MANAGEMENT LLC
CRD#: 149991Topsfield, MA 01983TRUST BUT VERIFY
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Contact information
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