James Baga is a registered investment advisor, based in Topsfield, MA, with 34 years of industry experience.
Location
7 Grove Street, Suite 201, Topsfield, MA, 01983
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Huntwicke Securities, LLCBroker
September 2016 - Present · 9 yrs 7 mos
Essex Private Wealth Management LLC
August 2016 - Present · 9 yrs 8 mos
Previous Registrations
Sentinel Pension Advisors INC
October 2013 - August 2016 · 2 yrs 10 mos
Sentinel Securities, INC.Broker
October 2013 - August 2016 · 2 yrs 10 mos
Strategic Advisers, INC.
July 2008 - September 2013 · 5 yrs 2 mos
Fidelity Brokerage Services LLCBroker
September 2007 - September 2013 · 6 yrs
Fidelity Investments Institutional Services Company, INC.Broker
July 1994 - August 2007 · 13 yrs 1 mo
Fidelity Brokerage Services, INC.Broker
November 1993 - July 1994 · 8 mos
Keystone Distributors, INC.Broker
July 1992 - December 1993 · 1 yr 5 mos
First Investors CorporationBroker
July 1987 - July 1988 · 1 yr
State Registrations1 state
MA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.