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TW

Thomas F. Wiese

J. ALDEN ASSOCIATES
Wayne, PA 19087
Some features on this profile are disabled
CRD#: 1751431
TW

Professional summary

Thomas Francis Wiese is a registered financial professional currently at J. ALDEN ASSOCIATES, INC. located in Wayne, Pennsylvania.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1988. Thomas has worked at 10 firms and has passed the Series 63, Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Francis Wiese'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 25, 2024 - Present

J. ALDEN ASSOCIATES, INC.

Office #1: 37 West Ave Suite 301, Wayne, PA 19087
BD
CRD#: 40002
Wayne, PA
Past

March 1, 2024 - September 20, 2024

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

April 17, 2015 - September 29, 2021

AXCELUS FINANCIAL DISTRIBUTION COMPANY

BD
CRD#: 38383
PHILADELPHIA, PA
Past

August 14, 2012 - February 26, 2013

BNY MELLON CAPITAL MARKETS, LLC

BD
CRD#: 17454
NEW YORK, NY
Past

May 26, 2005 - October 20, 2010

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

January 11, 2005 - February 8, 2005

MMC SECURITIES LLC

BD
CRD#: 103846
NEW YORK, NY
Past

June 27, 2003 - January 7, 2005

MMC SECURITIES LLC

BD
CRD#: 103846
NEW YORK, NY
Past

September 25, 2001 - June 18, 2002

NATIONWIDE FUND DISTRIBUTORS LLC

BD
CRD#: 25910
COLUMBUS, OH
Past

December 22, 1998 - December 14, 2000

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

June 25, 1991 - April 24, 1996

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

September 19, 1990 - March 6, 1991

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

March 29, 1988 - May 30, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Delaware
(10/1/2024)
RR
New Jersey
(9/26/2024)
RR
South Dakota
(9/27/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/29/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/13/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/17/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/17/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

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 Event3
Civil Event1

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.

Company Information

J. ALDEN ASSOCIATES, INC.

CRD#: 40002Wayne, PA 19087

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