James Farnham has been an investment adviser representative at Northeast Planning Associates since February 2016, and is not listed among the firm’s executive officers or direct owners. James Farnham holds a Bachelor of Science in Business and Marketing from the University of Massachusetts at Lowell.
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 E. Farnham is a Financial Planner with Northeast Planning Associates, Inc., based in Portsmouth, NH. He has more than 15 years of financial planning experience and offers wealth management, retirement planning, estate planning strategies, education planning, insurance strategies and multigenerational wealth planning. Before joining the firm he worked as a financial advisor at Morgan Stanley and Edward Jones and as a territory manager for a pharmaceutical and medical device firm.
James Farnham’s longest registration is the current one, 10 years at LPL Financial LLC since 2016. Before joining Northeast Planning Associates in 2016, James Farnham was registered through Morgan Stanley and Edward Jones.
- – present · 10 yearsRochester, NH · Adviser representative · Firm CRD 131406
- LPL Financial LLCAlso current– present · 10 yearsMethuen, MA · Adviser representative and broker · Firm CRD 6413
- Morgan Stanley– · 4 yearsPortsmouth, NH · Adviser representative · Firm CRD 149777
- Edward Jones– · 3 yearsNorth Hampton, NH · Adviser representative · Firm CRD 250
Investment adviser representative registrations
James Farnham is registered as an investment adviser representative in New Hampshire, since February 2016.
- New HampshireSince 12 February 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 24 April 2008 |
| Series 7 | General Securities Representative Examination | 10 April 2008 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 5493949
- Firm
- Northeast Planning Associates · CRD 131406
- Office
- 133 BROCK STREET, Rochester, NH 03867
- Registration
- Investment adviser and broker registrations
- In the industry since
- April 2008
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- farnhamfinancial.com
Where does James Farnham work?
James Farnham is an investment adviser representative registered through Northeast Planning Associates, Inc. since February 2016, and is not listed among the firm’s executive officers or direct owners.
Is James Farnham a financial advisor?
Yes. James Farnham has a current investment-adviser registration in New Hampshire, through Northeast Planning Associates since February 2016.
How many years of experience does James Farnham have?
James Farnham has 18 years in the financial industry, since April 2008, across 4 adviser firms.
What exams has James Farnham passed?
James Farnham has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in April 2008. FINRA credited James Farnham with the SIE, which began in October 2018.
Where did James Farnham work before Northeast Planning Associates?
Before Northeast Planning Associates, James Farnham was registered through Edward Jones, May 2008 to July 2011.
Where is James Farnham based?
James Farnham’s registered office is in Rochester, NH.
Is James Farnham registered with FINRA?
Yes. James Farnham has a current broker registration, under CRD 5493949.
Source: FINRA BrokerCheck
How can I verify James Farnham’s record?
Search CRD 5493949 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Farnham’s full registration record.
