Jeffrey Arsenault
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.
Jeffrey Arsenault, who also goes by Jeffrey David Arsenault, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1986. Jeffrey had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2023 - October 18, 2024
J. ALDEN ASSOCIATES, INC.
April 27, 2021 - February 21, 2023
FNEX CAPITAL, LLC
January 12, 2019 - May 4, 2021
J. ALDEN ASSOCIATES, INC.
March 24, 2017 - December 31, 2018
MCG SECURITIES LLC
July 12, 2007 - July 1, 2015
GRACE FINANCIAL GROUP LLC
January 3, 2007 - February 26, 2007
TRADERIGHT SECURITIES, INC.
June 8, 2006 - December 31, 2006
TRADERIGHT SECURITIES, INC.
September 17, 2002 - July 22, 2004
PARADIGM CAPITAL U.S. INC.
November 3, 1999 - September 19, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 1997 - September 28, 1999
CIBC WORLD MARKETS CORP.
June 23, 1997 - November 3, 1997
CIBC WOOD GUNDY SECURITIES CORP.
March 6, 1996 - June 13, 1997
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
June 22, 1993 - February 26, 1996
GORDON CAPITAL INC.
July 5, 1991 - July 10, 1991
KRUPP SECURITIES CORPORATION
February 4, 1987 - July 11, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 1986 - February 13, 1987
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J. ALDEN ASSOCIATES, INC.
CRD#: 40002 / SEC#: , 8-48938
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CALFO, LEE ALBERT | CEO, PRINCIPAL, RESEARCH PRINCIPAL | 4782334 |
| CASTLE CREEK LAUNCHPAD FUND I, LP | SHAREHOLDER | |
| SMITH, KENNETH RICHARD | PRINCIPAL, CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL, AMLCO | 2300203 |
| ENGELBACH, PETER ALDEN | PRESIDENT, PRINCIPAL, OPTIONS PRINCIPAL | 201177 |
| KINZER, CAROL ANN | FINOP | 4519471 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
