Michael J. Frederick

ALDEN CAPITAL

Collegeville, PA 19426

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CRD#: 4001792

Professional summary

Michael James Frederick, CFP®, ChFC®, who also goes by Michael J Frederick, Michael J. Frederick, is a registered financial advisor currently at ALDEN CAPITAL located in Collegeville, Pennsylvania and J. ALDEN ASSOCIATES, INC. located in Collegeville, Pennsylvania.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael J Frederick | Michael J. Frederick

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.

Treasurer of Upper Frederick Fire Company - Non Investment Related - 01/2023

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Frederick'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®

CFP^®

Certified Financial Planner

Start date: 2004

ChFC^®

Chartered Financial Consultant

Experience

Current

June 30, 2020 - Present

ALDEN CAPITAL

Office #1: 100 Springhouse Drive Suite #102, Collegeville, PA 19426

RIA

CRD#: 293551

Collegeville, PA

Current

June 30, 2020 - Present

J. ALDEN ASSOCIATES, INC.

Office #1: 100 Springhouse Drive Suite #102, Collegeville, PA 19426

CRD#: 40002

Collegeville, PA

Past

June 8, 2020 - June 16, 2020

ALDEN CAPITAL

RIA

CRD#: 293551

JENKINTOWN, PA

Past

December 3, 2018 - July 1, 2020

OSAIC ADVISORY SERVICES, LLC

RIA

CRD#: 171070

Exton, PA

Past

December 3, 2018 - July 1, 2020

TRIAD ADVISORS LLC

CRD#: 25803

Exton, PA

Past

August 31, 2016 - December 5, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

COLLEGEVILLE, PA

Past

January 16, 2009 - December 5, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

COLLEGEVILLE, PA

Past

February 16, 2000 - January 29, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WAYNE, PA

Past

October 12, 1999 - January 22, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WAYNE, PA

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

California
(7/18/2020)

IAR

Connecticut
(7/16/2020)

Florida
(7/18/2020)

IAR

New Jersey
(7/9/2020)

New York
(6/30/2020)

Ohio
(6/30/2020)

Pennsylvania
(6/30/2020)

IAR

Pennsylvania
(6/30/2020)

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 66

Date: 11/16/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/11/1999

General Securities 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

Michael J. Frederick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Frederick's CRS (Customer Relationship Summary).

Certified licenses

Experience

J. ALDEN ASSOCIATES, INC.

ALDEN CAPITAL

OSAIC ADVISORY SERVICES, LLC

TRIAD ADVISORS LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ALDEN CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 11/16/1999

SIE

Date: 10/1/2018

Series 7

Date: 10/11/1999

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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