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JH

James W. Hartwell

ESSEX
Deer Park, IL 60010
Some features on this profile are disabled
CRD#: 2400781
JH

Professional summary

James Walter Hartwell is a registered financial advisor currently at ESSEX LLC located in Deer Park, Illinois.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. James has worked at 1 firm and has passed the Series 65 and Series 2 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 Walter Hartwell'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 12, 2015 - Present

ESSEX LLC

Office #1: 21805 Field Parkway Suite 340, Deer Park, IL 60010
RIA
CRD#: 108352
Deer Park, IL
Past

February 7, 2001 - December 31, 2014

ESSEX LLC

RIA
CRD#: 108352
DEER PARK, IL

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".
EL
ESSEX LLC
ESSEX LLC

CRD#: 108352 / SEC#: 801-54274

RIA
Registered Investment Advisory firm - (4/11/1997 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
Illinois
(1/12/2015)
IAR
Texas
(7/14/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/3/1994
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 2
Date: 9/27/1994
Non-Member General Securities Examination

Current Firm

EL
ESSEX LLC
ESSEX LLC

CRD#: 108352 / SEC#: 801-54274

RIA
Registered Investment Advisory firm - (4/11/1997 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
21805 Field Parkway Suite 340, Deer Park, IL 60010
Mailing Address
Phone number
(847) 777-7800
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ESSEX, LLC FIRM BROCHURE (1/29/2026)

Regulatory assets under management

Total Number of Accounts2,294
AUM (Assets Under Management)$ 649,327,632

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.

Company Information

ESSEX LLC

CRD#: 108352Deer Park, IL 60010

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