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JS

John C. Swenson

Some features on this profile are disabled
CRD#: 1219390
JS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Clark Swenson was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1996. John had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. [OPERATING UNDER THE DBA NAME OF PRINCETON CAPITAL ASSOCIATES & INSURANCE SERVICES LLC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; OWNER; MADISON, WI; START DATE: 06/2015] INVESTMENT ADVISOR AFFILIATED WITH EAGLE STRATEGIES LLC [NYLARC Holding Company INC; Reinsuring the life insurance I write with New York Life.; 51 Madison Avenue, New York, NY 10010; Start Date 01/2015; Role/Title: Shareholder; Investment Related; 1 hours per month; 1 hours per month during securities trading hours] [Collins Holding Company CUSO, LLC; To oversee the CUSO's owned by Collins Community Credit Union. Credit Union Service Organization (CUSOs) are organizations that provide enhanced services to credit unions.; 1150 42nd Street NE, Cedar Rapids, IA 52402; Start Date 09/2019; Role/Title: Board Member; Investment Related; 1 hours per month; 1 hours per month during securities trading hours] Serve as a Director on the Collins Holding Company as well as a Director for CourseMark, LLC. Both organizations are owned and operated by Collins Community Credit Union. I receive no compensation or financial incentives by serving on these boards. Serve as a Director of the Exclamation Credit Union Servicing Organization (CUSO) which is owned and operated by the Simplicity Credit Union, located in Marshfield, WI. I receive no compensation or financial incentives by serving on these boards.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 22, 2022 - October 31, 2024

J. ALDEN ASSOCIATES, INC.

BD
CRD#: 40002
WAYNE, PA
Past

March 16, 2022 - October 31, 2024

ALDEN INVESTMENT GROUP

RIA
CRD#: 317077
Elbert, CO
Past

March 18, 2011 - December 3, 2021

EAGLE STRATEGIES LLC

RIA
CRD#: 110826
Elbert, CO
Past

February 28, 2011 - December 3, 2021

NYLIFE SECURITIES LLC

BD
CRD#: 5167
DENVER, CO
Past

January 8, 2010 - February 7, 2011

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
MADISON, WI
Past

January 8, 2010 - February 7, 2011

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
MADISON, WI
Past

May 1, 2008 - December 17, 2008

ADVISORS MANAGEMENT GROUP INC

RIA
CRD#: 113020
LA CROSSE, WI
Past

January 31, 2006 - January 17, 2008

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
MADISON, WI
Past

October 30, 2002 - January 17, 2008

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
MADISON, WI
Past

January 18, 2000 - June 8, 2001

STRONG INVESTMENTS, INC.

BD
CRD#: 15658
MENOMONEE FALLS, WI
Past

July 8, 1996 - August 18, 1999

FIRSTAR INVESTMENT SERVICES,INC.

BD
CRD#: 14536
MORRIS PLAINS, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/30/2006
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/10/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/3/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/4/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/3/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/13/2000
General Securities Principal Examination

Current Firm

JA
J. ALDEN ASSOCIATES, INC.
ADI-DASSLER INTERNATIONAL OFFICE | THE GALBREATH GROUP | STRATEGIC WEALTH MANAGEMENT | SHARP FINANCIAL | PURSUE WEALTH PARTMERS, LLC | PINE VALLEY INVESTMENTS | NEWCLEUS | NEMES RUSH | MONUMENTAL INVESTMENTS | MADISON SIXTY, LLC | KINGS MANAGMENT | J. ALDEN ASSOCIATES, INC. | ATHENA | AMBASSADOR FINANCIAL GROUP, LLC | ALDEN INVESTMENT GROUP

CRD#: 40002 / SEC#: , 8-48938

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
37 West Ave Suite 301, Wayne, PA 19087
Mailing Address
37 West Ave Suite 300, Wayne, PA 19087
Phone number
(215) 572-8700
Established
Delaware since 10/30/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CALFO, LEE ALBERTCEO, PRINCIPAL, RESEARCH PRINCIPAL4782334
CASTLE CREEK LAUNCHPAD FUND I, LPSHAREHOLDER
SMITH, KENNETH RICHARDPRINCIPAL, CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL, AMLCO2300203
ENGELBACH, PETER ALDENPRESIDENT, PRINCIPAL, OPTIONS PRINCIPAL201177
KINZER, CAROL ANNFINOP4519471

Disclosures

Regulatory Event2
Civil Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

J. ALDEN ASSOCIATES, INC.

CRD#: 40002

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