James Anza has been an investment adviser representative at Northeast Planning Associates since May 2026, and is not listed among the firm’s executive officers or direct owners.
Northeast Planning Associates, Inc. is a Bedford, NH firm with $414M under management, 959 clients and 69 advisers across 36 offices, as of its May 2026 filing.
James Anza’s longest registration is the current one, 1 year at LPL Financial LLC since 2025. Before joining Northeast Planning Associates in 2026, James Anza was registered through Avantax Advisory Services and Commonwealth Financial Network.
- – present · under a yearEnfield, CT · Adviser representative · Firm CRD 131406
- LPL Financial LLCAlso current– present · 1 yearAdviser representative · Firm CRD 6413
- Avantax Advisory Services– · under a yearEnfield, CT · Adviser representative · Firm CRD 104556
- Commonwealth Financial Network– · under a yearNewton, MA · Adviser representative · Firm CRD 8032
Investment adviser representative registrations
James Anza is registered as an investment adviser representative in 2 states. Each was approved in February 2025.
- ConnecticutSince 3 February 2025
- MassachusettsSince 5 February 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 3 July 2014 |
| Series 7 | General Securities Representative Examination | 3 April 2014 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 April 2011 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 19 March 2011 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- James V Anza
- CRD
- 5898424
- Firm
- Northeast Planning Associates · CRD 131406
- Office
- Enfield, CT
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 2011
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does James Anza work?
James Anza is an investment adviser representative registered through Northeast Planning Associates, Inc. since May 2026, and is not listed among the firm’s executive officers or direct owners.
Is James Anza a financial advisor?
Yes. James Anza has a current investment-adviser registration in Connecticut and Massachusetts, through Northeast Planning Associates since May 2026.
How many years of experience does James Anza have?
James Anza has 15 years in the financial industry, since August 2011, across 4 adviser firms.
What exams has James Anza passed?
James Anza has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 65. The earliest, the Series 6, was passed in March 2011. FINRA credited James Anza with the SIE, which began in October 2018.
Where did James Anza work before Northeast Planning Associates?
Before Northeast Planning Associates, James Anza was registered through Avantax Advisory Services, September 2024 to February 2025; Commonwealth Financial Network, July 2014 to January 2015.
Where is James Anza based?
James Anza’s registered office is in Enfield, CT.
Is James Anza registered with FINRA?
Yes. James Anza has a current broker registration, under CRD 5898424.
Source: FINRA BrokerCheck
How can I verify James Anza’s record?
Search CRD 5898424 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Anza’s full registration record.
