Kenneth R. Smith
Professional summary
Kenneth Richard Smith is a registered financial advisor currently at COMPASS FINANCIAL ADVISORS, LLC located in West Chester, Pennsylvania and ALDEN CAPITAL located in Wayne, Pennsylvania.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Kenneth has worked at 17 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 14, Series 8, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Richard Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 25, 2003 - Present
COMPASS FINANCIAL ADVISORS, LLC
April 2, 2018 - Present
ALDEN CAPITAL
Office #1: 37 West Avenue Ste 300, Wayne, PA 19087July 26, 2022 - Present
ALDEN INVESTMENT GROUP
Office #1: 37 West Avenue Suite 301, Wayne, PA 19087March 16, 2018 - Present
J. ALDEN ASSOCIATES, INC.
Office #1: 37 West Ave. Ste 301, Wayne, PA 19087Office #2: 48 West Oakland Ave., Doylestown, PA 18901Office #3: 37 West Ave Suite 301, Wayne, PA 19087Office #4: 3 Harding Road Suite C, Red Bank, NJ 07701March 6, 2019 - December 31, 2022
EQUALIZE CAPITAL LLC
March 21, 2017 - March 31, 2021
DEKANIA CAPITAL MANAGEMENT, LLC
March 21, 2017 - January 11, 2023
COHEN & COMPANY FINANCIAL MANAGEMENT, LLC
January 28, 2014 - October 1, 2020
BLUESTONE CAPITAL MANAGEMENT, LLC
October 31, 2012 - October 1, 2020
MCG SECURITIES LLC
October 10, 2011 - March 14, 2013
COMMONWEALTH ADVISORS, INC.
October 6, 2011 - September 25, 2012
COHEN & COMPANY SECURITIES, LLC
June 23, 2010 - March 9, 2011
COHEN & COMPANY CAPITAL MARKETS, LLC
February 13, 2006 - June 5, 2007
RAIT SECURITIES, LLC
August 26, 2005 - February 15, 2006
CBT INVESTMENT MANAGEMENT, LLC
October 22, 2002 - December 15, 2005
CBT INVESTMENT MANAGEMENT, INC.
October 11, 2000 - March 9, 2011
COHEN & COMPANY SECURITIES, LLC
October 21, 1998 - February 17, 2000
JPMSI
November 3, 1994 - October 12, 1998
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
ALDEN CAPITAL
CRD#: 293551 / SEC#: 801-116941
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/13/2025)
(7/27/2022)
(7/7/2022)
(4/26/2023)
(4/16/2021)
(4/21/2022)
(11/25/2003)
(4/20/2021)
(5/13/2021)
(8/9/2022)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 11/12/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 1/27/1999
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
ALDEN CAPITAL
CRD#: 293551 / SEC#: 801-116941
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,147 |
| AUM (Assets Under Management) | $ 1,444,147,688 |
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.
