Joseph D. Gastaldi

ALDEN INVESTMENT GROUP

Osceola, IN

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CRD#: 1514477

Professional summary

Joseph David Gastaldi, AIF®, who also goes by Joe Gastaldi, is a registered financial advisor currently at ALDEN INVESTMENT GROUP located in Osceola, Indiana.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Joseph has worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Gastaldi

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.

From time to time a client may need to purchase life, health, disability or LTC insurance. I am licensed and permitted to do so outside of my IAR business. Newcleus Financial - 401K Plan Advisor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph David Gastaldi's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

January 17, 2023 - Present

ALDEN INVESTMENT GROUP

RIA

CRD#: 317077

Osceola, IN

Past

November 18, 2022 - November 30, 2022

GREENLEAF ADVISORS

RIA

CRD#: 172332

Osceola, IN

Past

February 17, 2016 - November 18, 2022

GREENLEAF ADVISORS

RIA

CRD#: 172332

Osceola, IN

Past

October 16, 2013 - August 31, 2015

KORHORN FINANCIAL GROUP

RIA

CRD#: 128606

GRANGER, IN

Past

October 15, 2013 - August 10, 2015

SECURITIES AMERICA, INC.

CRD#: 10205

GRANGER, IN

Past

March 15, 2011 - August 16, 2013

LAKESIDE WEALTH MANAGEMENT GROUP, LLC

RIA

CRD#: 140271

CHESTERTON, IN

Past

March 14, 2011 - August 5, 2013

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

CHESTERTON, IN

Past

November 3, 2008 - September 10, 2009

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

MISHAWAKA, IN

Past

November 3, 2008 - September 10, 2009

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

MISHAWAKA, IN

Past

October 4, 2005 - November 5, 2008

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

MISHAWAKA, IN

Past

October 4, 2005 - November 5, 2008

INVEST FINANCIAL CORPORATION

CRD#: 12984

MISHAWAKA, IN

Past

November 30, 2001 - November 16, 2006

FINANCIAL INDEPENDENCE GROUP

RIA

CRD#: 120403

SOUTH BEND, IN

Past

February 12, 1997 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

February 12, 1997 - October 7, 2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

March 27, 1995 - July 8, 1996

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALDEN INVESTMENT GROUP

CRD#: 317077 / SEC#: 801-122688

RIA

Registered Investment Advisory firm - (11/12/2021 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(1/17/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/12/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/10/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/10/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/14/1994

General Securities Representative Examination

Current Firm

ALDEN INVESTMENT GROUP

CRD#: 317077 / SEC#: 801-122688

RIA

Registered Investment Advisory firm - (11/12/2021 Approved)

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Contact information

Main Address

37 West Avenue Suite 301, Wayne, PA 19087-3226

Mailing Address

Phone number

(215) 572-8700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (8/7/2025)

Regulatory assets under management

Total Number of Accounts	978
AUM (Assets Under Management)	$ 319,233,679

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.

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Advisor Monitoring

Firm Stability Insights

Joseph D. Gastaldi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph David Gastaldi's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREENLEAF ADVISORS

GREENLEAF ADVISORS

KORHORN FINANCIAL GROUP

SECURITIES AMERICA, INC.

LAKESIDE WEALTH MANAGEMENT GROUP, LLC

FIRST ALLIED SECURITIES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

FINANCIAL INDEPENDENCE GROUP

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BGC FINANCIAL, L.P.

Primary Firm SEC Registration

ALDEN INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 11/12/2001

Series 63

Date: 5/10/1997

SIE

Date: 8/10/2015

Series 7

Date: 12/14/1994

Current Firm

ALDEN INVESTMENT GROUP

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALDEN INVESTMENT GROUP

TRUST BUT VERIFY

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