Joseph L. Langhorn
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Lamarte Langhorn was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1996. Joseph had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2019 - December 24, 2019
J. ALDEN ASSOCIATES, INC.
June 6, 2019 - October 1, 2019
WEALTHFORGE SECURITIES, LLC
October 14, 2014 - July 9, 2018
SANTANDER US CAPITAL MARKETS LLC
March 18, 2014 - October 14, 2014
AMHERST SECURITIES GROUP, L.P.
April 1, 2011 - February 4, 2014
DEUTSCHE BANK SECURITIES INC.
October 14, 2010 - April 1, 2011
COHEN & COMPANY CAPITAL MARKETS, LLC
July 7, 2010 - October 14, 2010
COHEN & COMPANY SECURITIES, LLC
March 23, 2009 - July 1, 2010
BARCLAYS CAPITAL INC.
February 20, 2009 - July 1, 2010
BARCLAYS CAPITAL INC.
January 1, 2005 - January 28, 2009
BARCLAYS CAPITAL INC.
August 15, 1996 - June 5, 1998
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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 | 3 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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