Karen M. Van Horn

ALDEN INVESTMENT GROUP

Wayne, PA 19087

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CRD#: 3176835

Professional summary

Karen M. Van Horn, who also goes by Karen M Herb, Karen Herb, Karen M Sonnanburg, Karen Maureen Vanhokn, Karen M Vanhorn, Karen Van Horn, is a registered financial advisor currently at ALDEN INVESTMENT GROUP located in Wayne, Pennsylvania and EQUALIZE CAPITAL LLC located in Wayne, Pennsylvania.

Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Karen has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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) Chief Risk Officer for Alden Investment Group beginning 3/2023. 2) Chief Compliance Officer for Equalize Capital beginning 4/1/2024.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen M. Van Horn'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

November 11, 2022 - Present

ALDEN INVESTMENT GROUP

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

RIA

CRD#: 317077

Wayne, PA

Current

February 21, 2024 - Present

EQUALIZE CAPITAL LLC

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

RIA

CRD#: 300640

Wayne, PA

Current

November 11, 2022 - Present

J. ALDEN ASSOCIATES, INC.

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

CRD#: 40002

Wayne, PA

Past

November 22, 2021 - November 17, 2022

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CONSHOHOCKEN, PA

Past

November 22, 2021 - November 17, 2022

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CONSHOHOCKEN, PA

Past

October 11, 2012 - November 5, 2021

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

JENKINTOWN, PA

Past

October 11, 2012 - November 5, 2021

OPPENHEIMER & CO. INC.

CRD#: 249

JENKINTOWN, PA

Past

June 1, 2009 - October 26, 2012

MORGAN STANLEY

RIA

CRD#: 149777

JENKINTOWN, PA

Past

June 1, 2009 - October 26, 2012

MORGAN STANLEY

CRD#: 149777

JENKINTOWN, PA

Past

September 23, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

JENKINTOWN, PA

Past

September 16, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

JENKINTOWN, PA

Past

November 23, 2005 - September 3, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

JENKINTOWN, PA

Past

March 26, 2004 - September 3, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

JENKINTOWN, PA

Past

July 5, 2002 - May 14, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 19, 2001 - May 17, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 13, 2001 - March 27, 2001

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

October 27, 2000 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

July 20, 1999 - October 19, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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 INVESTMENT GROUP

CRD#: 317077 / SEC#: 801-122688

RIA

Registered Investment Advisory firm - (11/12/2021 Approved)

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

Pennsylvania
(11/11/2022)

IAR

Pennsylvania
(11/11/2022)

IAR

Puerto Rico
(2/21/2024)

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: 11/22/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/24/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 6/22/2006

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 3/28/2006

General Securities Sales Supervisor - General Module Examination

SRO Registrations

FINRA

Current Firm

ALDEN INVESTMENT GROUP

CRD#: 317077 / SEC#: 801-122688

RIA

Registered Investment Advisory firm - (11/12/2021 Approved)

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Contact information

Main Address

37 West Avenue Suite 301, Wayne, PA 19087-3226

Mailing Address

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	978
AUM (Assets Under Management)	$ 319,233,679

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

Karen M. Van Horn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen M. Van Horn's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUALIZE CAPITAL LLC

J. ALDEN ASSOCIATES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

ALDEN INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 11/22/2005

Series 63

Date: 8/24/1999

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/19/1999

Series 9

Date: 6/22/2006

Series 10

Date: 3/28/2006

FINRA

Current Firm

ALDEN INVESTMENT GROUP

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALDEN INVESTMENT GROUP

TRUST BUT VERIFY

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