James Hartwell has been an investment adviser representative at Essex since January 2015, and is not listed among the firm’s executive officers or direct owners.
Essex LLC is a Deer Park, IL firm with $649M under management, 608 clients and 7 advisers across 3 offices, as of its January 2026 filing.
Investment adviser representative registrations
James Hartwell is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from January 2015; the most recent is Texas, in July 2022.
- IllinoisSince 12 January 2015
- TexasResidentSince 14 July 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 2 | Non-Member General Securities Examination | 27 September 1994 |
| Series 65 | Uniform Investment Adviser Law Examination | 3 March 1994 |
- Name
- Non-Member General Securities Examination
- Name
- Uniform Investment Adviser Law Examination
- Full name
- James Walter Hartwell
- CRD
- 2400781
- Firm
- Essex · CRD 108352
- Office
- 21805 FIELD PARKWAY, SUITE 340, Deer Park, IL 60010
- Registration
- Investment adviser registration
- In the industry since
- February 2001
- Disciplinary history
- Not yet shown here · SEC record
Where does James Hartwell work?
James Hartwell is an investment adviser representative registered through Essex LLC since January 2015, and is not listed among the firm’s executive officers or direct owners.
Is James Hartwell a financial advisor?
Yes. James Hartwell has a current investment-adviser registration in Illinois and Texas, through Essex since January 2015.
How many years of experience does James Hartwell have?
James Hartwell has 25 years in the financial industry, since February 2001, across 1 adviser firm.
What exams has James Hartwell passed?
James Hartwell has passed 2 licensing exams: the Series 65 and Series 2. The earliest, the Series 65, was passed in March 1994.
Where is James Hartwell based?
James Hartwell’s registered office is in Deer Park, IL.
Is James Hartwell registered with FINRA?
No. James Hartwell has no current broker registration.
How can I verify James Hartwell’s record?
Search CRD 2400781 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Hartwell’s full registration record.
