James R. Scott

ALDEN INVESTMENT GROUP

Ocala, FL

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CRD#: 3228730

Professional summary

James Robert Scott is a registered financial advisor currently at ALDEN INVESTMENT GROUP located in Ocala, Florida 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 1999. James has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, Series 22TO, SIE 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.

SCOTT AGENCY, LLC, NOT INVESTMENT RELATED, SALES OF ALL LINES OF INSURANCE POLICIES INCLUDING LIFE, HEALTH, PROPERTY, CASUALTY AND OUTSOURCING ACCOUNTING, PAYROLL AND TAX PREPARATION. 100% OWNER, STARTED MAY 2022, APPROXIMATELY 10% OF MY TIME DURING MARKET HOURS IS DEVOTED TO THIS BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Robert Scott'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

May 9, 2024 - Present

ALDEN INVESTMENT GROUP

RIA

CRD#: 317077

Ocala, FL

Current

May 8, 2024 - Present

J. ALDEN ASSOCIATES, INC.

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

CRD#: 40002

Wayne, PA

Past

June 20, 2016 - May 13, 2024

TRUST ADVISORY GROUP LTD

RIA

CRD#: 106926

Ocala, FL

Past

January 2, 2014 - May 13, 2024

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

Ocala, FL

Past

August 16, 2007 - December 31, 2013

HBW SECURITIES LLC

CRD#: 136959

HAVERHILL, MA

Past

July 15, 1999 - January 31, 2006

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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

Connecticut
(5/8/2024)

Florida
(5/8/2024)

IAR

Florida
(5/14/2024)

Maine
(5/8/2024)

Massachusetts
(5/8/2024)

IAR

Massachusetts
(6/18/2024)

New Hampshire
(5/8/2024)

IAR

New Hampshire
(5/9/2024)

Ohio
(5/8/2024)

Rhode Island
(5/8/2024)

IAR

Rhode Island
(5/9/2024)

Texas
(5/8/2024)

Washington
(5/8/2024)

IAR

Washington
(5/29/2024)

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: 6/10/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/30/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/14/2023

General Securities Representative Examination

General Industry/Product Exam

Series 22TO

Date: 1/6/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/14/1999

Investment Company Products/Variable Contracts Representative 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

James R. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Robert Scott's CRS (Customer Relationship Summary).

Certified licenses

Experience

J. ALDEN ASSOCIATES, INC.

TRUST ADVISORY GROUP LTD

AGES FINANCIAL SERVICES, LTD.

HBW SECURITIES LLC

PFS INVESTMENTS INC.

Primary Firm SEC Registration

ALDEN INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 6/10/2016

Series 63

Date: 7/30/1999

Series 7TO

Date: 6/14/2023

Series 22TO

Date: 1/6/2023

SIE

Date: 10/1/2018

Series 6

Date: 7/14/1999

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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