Peter A. Engelbach
Professional summary
Peter Alden Engelbach, who also goes by Peter Aldan Engelbach, is a registered financial professional currently at J. ALDEN ASSOCIATES, INC. located in Doylestown, Pennsylvania.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1970. Peter has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, Series 7TO, Series 52TO, SIE, PC, Series 5, Series 1, Series 53, Series 27, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Alden Engelbach's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 22, 1996 - Present
J. ALDEN ASSOCIATES, INC.
Office #1: 48 West Oakland Ave., Doylestown, PA 18901June 20, 1994 - July 29, 1996
THE DELAWARE BAY COMPANY, INC.
August 15, 1984 - May 6, 1994
PRUDENTIAL EQUITY GROUP, LLC
October 5, 1982 - August 21, 1984
DREXEL BURNHAM LAMBERT INCORPORATED
July 8, 1974 - July 7, 1982
THOMSON MCKINNON SECURITIES INC.
July 27, 1971 - August 19, 1975
W. E. HUTTON & CO.
March 24, 1971 - February 6, 1975
ADVEST, INC.
August 6, 1970 - April 21, 1971
HUTCHINS, MIXTER & PARKINSON INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/6/2008)
(4/5/2016)
(12/6/2012)
(7/30/1996)
(8/27/1996)
(6/17/2013)
(8/8/1996)
(8/14/2008)
(3/27/2008)
(4/14/2008)
(7/29/1997)
(4/6/2021)
(8/1/1996)
(8/13/1996)
(5/15/2008)
(2/12/2001)
(8/7/1996)
(10/12/2006)
(3/26/2010)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationPC
Date: 11/30/1982
AMEX Put and Call ExamSeries 5
Date: 1/21/1982
Interest Rate Options ExaminationSeries 1
Date: 12/6/1965
Registered Representative ExaminationSeries 8
Date: 10/3/1986
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
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
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