James N. Pepperman

ALDEN CAPITAL

West Chester, PA 19380

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CRD#: 2492391

Professional summary

James Nendel Pepperman is a registered financial advisor currently at ALDEN CAPITAL located in West Chester, Pennsylvania and J. ALDEN ASSOCIATES, INC. located in Wayne, Pennsylvania.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. James has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1)NORTHSTAR OF CHESTER COUNTY | | HOURS PER MONTH 10 | NATURE OF BUSINESS : OTHER - NON PROFIT | START DATE: 5/28/2012 12:00:00 AM +00:00 2) Life Insurance sales. 1 hour per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Nendel Pepperman'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

June 4, 2020 - Present

ALDEN CAPITAL

Office #1: 1595 Paoli Pike Ste 105, West Chester, PA 19380

RIA

CRD#: 293551

West Chester, PA

Current

June 4, 2020 - Present

J. ALDEN ASSOCIATES, INC.

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

CRD#: 40002

Wayne, PA

Past

October 15, 2014 - June 18, 2020

BLUESTONE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 157841

WAYNE, PA

Past

October 15, 2014 - June 18, 2020

MCG SECURITIES LLC

CRD#: 163144

Malvern, PA

Past

September 2, 2010 - December 20, 2010

AZARIAS CAPITAL PARTNERS, LLC

RIA

CRD#: 153358

MALVERNE, PA

Past

May 19, 2010 - October 16, 2014

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

WEST CHESTER, PA

Past

May 19, 2010 - October 16, 2014

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

WEST CHESTER, PA

Past

June 21, 2002 - May 24, 2010

NEW ENGLAND SECURITIES

RIA

CRD#: 615

NEWTOWN SQUARE, PA

Past

February 16, 1999 - May 24, 2010

NEW ENGLAND SECURITIES

CRD#: 615

NEWTOWN SQUARE, PA

Past

August 13, 1996 - February 8, 1999

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

July 12, 1994 - August 7, 1996

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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 CAPITAL

CRD#: 293551 / SEC#: 801-116941

RIA

Registered Investment Advisory firm - (7/9/2019 Approved)

New York

Registered Investment Advisory firm - (10/10/2018 Approved)

Pennsylvania

Registered Investment Advisory firm - (7/25/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

IAR

Delaware
(9/18/2024)

Florida
(6/4/2020)

IAR

Florida
(6/19/2020)

IAR

Massachusetts
(9/22/2020)

Massachusetts
(6/4/2024)

New Jersey
(10/21/2020)

IAR

New Jersey
(11/18/2020)

Pennsylvania
(6/4/2020)

IAR

Pennsylvania
(6/4/2020)

Virginia
(6/4/2020)

IAR

Virginia
(6/4/2020)

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: 7/12/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/1994

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: 1/13/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/11/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ALDEN CAPITAL

CRD#: 293551 / SEC#: 801-116941

RIA

Registered Investment Advisory firm - (7/9/2019 Approved)

New York

Registered Investment Advisory firm - (10/10/2018 Approved)

Pennsylvania

Registered Investment Advisory firm - (7/25/2019 Terminated)

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Contact information

Main Address

37 West Ave Suite 301, Wayne, PA 19087

Mailing Address

37 West Ave Suite 301, Wayne, PA 19087

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	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.

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Advisor Monitoring

Firm Stability Insights

James N. Pepperman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Nendel Pepperman's CRS (Customer Relationship Summary).

Certified licenses

Experience

J. ALDEN ASSOCIATES, INC.

BLUESTONE CAPITAL MANAGEMENT, LLC

MCG SECURITIES LLC

AZARIAS CAPITAL PARTNERS, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

IFG NETWORK SECURITIES, INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

ALDEN CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 7/12/1999

Series 63

Date: 7/15/1994

SIE

Date: 10/1/2018

Series 7

Date: 1/13/1998

Series 6

Date: 7/11/1994

FINRA

Current Firm

ALDEN CAPITAL

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALDEN CAPITAL

TRUST BUT VERIFY

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