James J. Calla

J. ALDEN ASSOCIATES

Wayne, PA 19087

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CRD#: 1615446

Professional summary

James Joseph Calla, who also goes by Jim Calla, is a registered financial professional currently at J. ALDEN ASSOCIATES, INC. located in Wayne, Pennsylvania.

James is registered as a RR (Registered Representative) and started their career in finance in 1987. James has worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Calla

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Joseph Calla'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®

None

Experience

Current

November 14, 2014 - Present

J. ALDEN ASSOCIATES, INC.

Office #1: 37 West Ave Suite 301, Wayne, PA 19087

CRD#: 40002

Wayne, PA

Past

October 5, 2001 - March 31, 2009

SOVEREIGN SECURITIES CORPORATION, LLC

CRD#: 112638

PHILADELPHIA, PA

Past

July 1, 1998 - April 14, 1999

PNC CAPITAL MARKETS LLC

CRD#: 15647

PITTSBURGH, PA

Past

June 9, 1998 - July 1, 1998

PNC BROKERAGE CORP

CRD#: 34671

PITTSBURGH, PA

Past

July 17, 1995 - June 2, 1998

FIRST CLEARING, LLC

CRD#: 17344

ST. LOUIS, MO

Past

September 29, 1988 - May 18, 1990

FIRST CLEARING, LLC

CRD#: 17344

ST. LOUIS, MO

Past

March 25, 1987 - July 11, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Georgia
(8/25/2022)

North Carolina
(8/23/2019)

Pennsylvania
(11/18/2014)

Exams

State Security Law Exam

Series 63

Date: 8/23/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/4/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/21/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/7/1998

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 7/10/1995

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

J. ALDEN ASSOCIATES, INC.

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Advisor Monitoring

Firm Stability Insights

James J. Calla

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Joseph Calla's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOVEREIGN SECURITIES CORPORATION, LLC

PNC CAPITAL MARKETS LLC

PNC BROKERAGE CORP

FIRST CLEARING, LLC

FIRST CLEARING, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 8/23/2019

SIE

Date: 10/1/2018

Series 3

Date: 12/4/1987

Series 7

Date: 3/21/1987

Series 24

Date: 1/7/1998

Series 53

Date: 7/10/1995

FINRA

Current Firm

J. ALDEN ASSOCIATES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

J. ALDEN ASSOCIATES, INC.

TRUST BUT VERIFY

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