James E. Brennan

1 NORTH WEALTH SERVICES

ANNAPOLIS, MD 21401

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CRD#: 2717083

Professional summary

James Edward Brennan, CFP® is a registered financial advisor currently at 1 NORTH WEALTH SERVICES, LLC located in Annapolis, Maryland.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. James has worked at 3 firms and has passed the Series 63 and Series 7 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 Edward Brennan'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®

CFP^®

Certified Financial Planner

Start date: 2000

Experience

Current

January 3, 2005 - Present

1 NORTH WEALTH SERVICES, LLC

Office #1: 1997 Annapolis Exchange Parkway Suite 250, Annapolis, MD 21401

RIA

CRD#: 115948

ANNAPOLIS, MD

Past

February 8, 2002 - September 30, 2002

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

November 20, 1996 - February 14, 2000

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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".

1 NORTH WEALTH SERVICES, LLC

1 NORTH WEALTH SERVICES, LLC | MIDDLETON GARDINER GROUP, LLC | JAY MIDDLETON ADVISORY, LLC

CRD#: 115948 / SEC#: 801-60941

RIA

Registered Investment Advisory firm - (2/22/2002 Approved)

Maryland

Registered Investment Advisory firm - (3/5/2002 Terminated)

Virginia

Registered Investment Advisory firm - (3/6/2002 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.

Highlighted states indicate IAR registrations

IAR

Maryland
(1/3/2005)

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

Series 63

Date: 12/4/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/18/1996

General Securities Representative Examination

Current Firm

1 NORTH WEALTH SERVICES, LLC

1 NORTH WEALTH SERVICES, LLC | MIDDLETON GARDINER GROUP, LLC | JAY MIDDLETON ADVISORY, LLC

CRD#: 115948 / SEC#: 801-60941

RIA

Registered Investment Advisory firm - (2/22/2002 Approved)

Maryland

Registered Investment Advisory firm - (3/5/2002 Terminated)

Virginia

Registered Investment Advisory firm - (3/6/2002 Terminated)

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Contact information

Main Address

1997 Annapolis Exchange Parkway Suite 250, Annapolis, MD 21401

Mailing Address

Phone number

(410) 975-0099

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 BROCHURE (3/17/2025)

Regulatory assets under management

Total Number of Accounts	647
AUM (Assets Under Management)	$ 277,561,713

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.

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James E. Brennan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Brennan's CRS (Customer Relationship Summary).

Certified licenses

Experience

1 NORTH WEALTH SERVICES, LLC

LASALLE ST SECURITIES, L.L.C.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

1 NORTH WEALTH SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/4/1996

Series 7

Date: 11/18/1996

Current Firm

1 NORTH WEALTH SERVICES, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

1 NORTH WEALTH SERVICES, LLC

TRUST BUT VERIFY

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