Wendy L. Gipson-fitzpatrick

ALDEN INVESTMENT GROUP

Charlestown, MA

CRD#: 1627207

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Professional summary

Wendy Lesa Gipson-fitzpatrick, who also goes by Wendy Lesa Gipson, Wendy Lisa Gipson, is a registered financial advisor currently at ALDEN INVESTMENT GROUP located in Charlestown, Massachusetts and J. ALDEN ASSOCIATES, INC. located in Wayne, Pennsylvania.

Wendy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Wendy has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Wendy Lesa Gipson | Wendy Lisa Gipson

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) - RIA

Click below to view Wendy Lesa Gipson-fitzpatrick'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

September 13, 2024 - Present

ALDEN INVESTMENT GROUP

RIA

CRD#: 317077

Charlestown, MA

Current

September 13, 2024 - Present

J. ALDEN ASSOCIATES, INC.

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

CRD#: 40002

Wayne, PA

Past

February 10, 2020 - September 16, 2024

TRUST ADVISORY GROUP LTD

RIA

CRD#: 106926

Charlestown, MA

Past

February 7, 2020 - September 16, 2024

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

READING, MA

Past

August 1, 2016 - February 26, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHARLESTOWN, MA

Past

July 29, 2016 - February 26, 2020

LPL FINANCIAL LLC

CRD#: 6413

CHARLESTOWN, MA

Past

December 16, 2009 - August 2, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

FRAMINGHAM, MA

Past

December 4, 2009 - August 2, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

FRAMINGHAM, MA

Past

October 3, 2007 - December 16, 2009

B.B. GRAHAM & COMPANY, INC.

RIA

CRD#: 41533

FRAMINGHAM, MA

Past

September 7, 2007 - December 16, 2009

B.B. GRAHAM & COMPANY, INC.

CRD#: 41533

FRAMINGHAM, MA

Past

March 5, 2007 - September 12, 2007

FIRST MIDAMERICA INVESTMENT CORPORATION

RIA

CRD#: 104476

FRAMINGHAM, MA

Past

February 26, 2007 - September 12, 2007

FIRST MIDAMERICA INVESTMENT CORPORATION

CRD#: 104476

FRAMINGHAM, MA

Past

October 20, 2004 - February 16, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

BOSTON, MA

Past

October 20, 2004 - February 16, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

July 24, 2003 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

BOSTON, MA

Past

September 27, 2002 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

August 5, 2000 - September 30, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 23, 2000 - August 5, 2000

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

March 20, 1995 - June 27, 2000

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

BALTIMORE, MD

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.

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

Arizona
(9/13/2024)

IAR

Arizona
(4/24/2025)

IAR

Florida
(2/17/2025)

IAR

Kansas
(9/13/2024)

Maine
(9/13/2024)

IAR

Maine
(9/13/2024)

Massachusetts
(9/16/2024)

IAR

Massachusetts
(4/3/2025)

New Hampshire
(9/13/2024)

IAR

New Hampshire
(9/13/2024)

IAR

New Jersey
(9/16/2024)

IAR

New York
(9/13/2024)

North Carolina
(9/13/2024)

IAR

North Carolina
(4/14/2025)

IAR

Pennsylvania
(9/13/2024)

IAR

South Carolina
(9/13/2024)

Virginia
(9/13/2024)

IAR

Virginia
(9/13/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/14/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/22/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/16/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/20/1995

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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

Wendy L. Gipson-fitzpatrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wendy Lesa Gipson-fitzpatrick's CRS (Customer Relationship Summary).

Certified licenses

Experience

J. ALDEN ASSOCIATES, INC.

TRUST ADVISORY GROUP LTD

AGES FINANCIAL SERVICES, LTD.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

B.B. GRAHAM & COMPANY, INC.

B.B. GRAHAM & COMPANY, INC.

FIRST MIDAMERICA INVESTMENT CORPORATION

FIRST MIDAMERICA INVESTMENT CORPORATION

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

WELLS FARGO CLEARING SERVICES, LLC

GLEACHER & COMPANY SECURITIES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

ALDEN INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 10/14/1998

Series 63

Date: 8/22/1997

SIE

Date: 10/1/2018

Series 7

Date: 5/16/1996

Series 6

Date: 1/20/1995

FINRA

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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