James Tenbroeck Baumann
Investment adviser representative at Esi Financial Advisors
10 yearsExperience
1 stateRegistered in
ChFC®Designation
$2.8BFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- Equity Services, Inc.May 2024 to now
- National Life GroupApr 2016 to now
- Phit PerformanceApr 2016 to May 2017
Designations
- ChFC®
Exams passed
- Series 63 · Uniform Securities Agent State Law2025
State registrations
Registered as an investment adviser representative in 1 state (SC).
Esi Financial Advisors
Legal name: Equity Services, Inc.
$2.8BAssets managed
12,379Clients
504Advisers
34 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6635926
- Firm CRD
- 265