Brian D. Brogan

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CRD#: 4032167

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.

Brian D Brogan, who also goes by Brian Denis Brogan, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1999. Brian had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brian Denis Brogan

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) Director of Saint Joseph's University IFBE, Adjunct Professor Finance

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 17, 2024 - May 30, 2025

ALDEN INVESTMENT GROUP

RIA

CRD#: 317077

Wayne, PA

Past

December 1, 2023 - June 21, 2024

EXEMPLAR WEALTH ADVISORS, LLC

RIA

CRD#: 322419

WYNNEWOOD, PA

Past

February 23, 2017 - September 21, 2017

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

JENKINTOWN, PA

Past

February 23, 2017 - September 21, 2017

OPPENHEIMER & CO. INC.

CRD#: 249

JENKINTOWN, PA

Past

April 22, 2015 - September 23, 2015

BCG SECURITIES, INC.

CRD#: 70

CHERRY HILL, NJ

Past

April 14, 2015 - September 23, 2015

BCG SECURITIES, INC.

RIA

CRD#: 70

RYDAL, PA

Past

October 15, 2012 - April 16, 2013

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

RYDAL, PA

Past

August 11, 2011 - May 18, 2012

VE CAPITAL MANAGEMENT LLC

RIA

CRD#: 157695

PHILADELPHIA, PA

Past

October 28, 2010 - January 10, 2011

MORGAN STANLEY

RIA

CRD#: 149777

PHILADELPHIA, PA

Past

October 28, 2010 - January 10, 2011

MORGAN STANLEY

CRD#: 149777

PHILADELPHIA, PA

Past

November 25, 2009 - December 31, 2022

BROGAN GROUP INVESTMENT ADVISORS LLC

RIA

CRD#: 151924

Wyneewood, PA

Past

May 8, 2009 - December 10, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

WAYNE, PA

Past

April 29, 2009 - December 10, 2009

LPL FINANCIAL LLC

CRD#: 6413

WAYNE, PA

Past

July 17, 2008 - January 22, 2009

PACER ADVISORS, INC.

RIA

CRD#: 137381

PAOLI, PA

Past

July 17, 2008 - January 22, 2009

PACER FINANCIAL, INC.

CRD#: 137040

MALVERN, PA

Past

June 11, 2008 - June 18, 2008

H. G. WELLINGTON & CO., INC.

RIA

CRD#: 7536

BOSTON, MA

Past

July 1, 2003 - June 18, 2008

H. G. WELLINGTON & CO., INC.

CRD#: 7536

BOSTON, MA

Past

October 15, 2002 - June 30, 2003

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

June 2, 2001 - January 8, 2002

DIRECTED SERVICES LLC

CRD#: 21675

WEST CHESTER, PA

Past

March 16, 2001 - April 27, 2001

PNC BROKERAGE CORP

CRD#: 34671

PITTSBURGH, PA

Past

December 10, 1999 - March 5, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/16/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/11/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/21/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 2/1/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 12/9/1999

General Securities Representative Examination

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

Brian D. Brogan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EXEMPLAR WEALTH ADVISORS, LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

BCG SECURITIES, INC.

BCG SECURITIES, INC.

PURSHE KAPLAN STERLING INVESTMENTS

VE CAPITAL MANAGEMENT LLC

MORGAN STANLEY

MORGAN STANLEY

BROGAN GROUP INVESTMENT ADVISORS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PACER ADVISORS, INC.

PACER FINANCIAL, INC.

H. G. WELLINGTON & CO., INC.

H. G. WELLINGTON & CO., INC.

USALLIANZ SECURITIES, INC.

DIRECTED SERVICES LLC

PNC BROKERAGE CORP

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

ALDEN INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 5/16/2008

Series 63

Date: 1/11/2000

SIE

Date: 9/21/2017

Series 87

Date: 2/1/2005

Series 7

Date: 12/9/1999

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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