Robert B. Galbreath

J. ALDEN ASSOCIATES

Wayne, PA 19087

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CRD#: 4172267

Professional summary

Robert Bruce Galbreath SR., who also goes by Robert B Galbreath Sr., is a registered financial professional currently at J. ALDEN ASSOCIATES, INC. located in Wayne, Pennsylvania.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robert B Galbreath Sr.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Bruce Galbreath SR.'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

August 6, 2021 - Present

J. ALDEN ASSOCIATES, INC.

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

CRD#: 40002

Wayne, PA

Past

November 1, 2006 - August 11, 2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

ABINGTON, PA

Past

March 22, 2006 - September 19, 2006

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

ABINGTON, PA

Past

October 14, 2003 - March 13, 2006

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

LAKE ST. LOUIS, MO

Past

June 10, 2002 - October 22, 2003

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

January 22, 2002 - June 1, 2002

WESTPORT FINANCIAL SERVICES, L.L.C.

CRD#: 38449

JACKSONVILLE, FL

Past

May 15, 2000 - May 9, 2001

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(1/21/2022)

Arkansas
(2/14/2022)

Connecticut
(1/7/2022)

Delaware
(7/20/2022)

Florida
(2/19/2022)

Georgia
(1/7/2022)

Iowa
(1/24/2022)

Kansas
(1/21/2022)

Maine
(1/31/2022)

Maryland
(1/6/2022)

Michigan
(1/11/2022)

Missouri
(6/21/2022)

Montana
(1/21/2022)

New Jersey
(1/26/2022)

New York
(1/8/2022)

Ohio
(1/7/2022)

Pennsylvania
(8/20/2021)

South Carolina
(1/20/2022)

Texas
(3/22/2022)

Virginia
(2/26/2022)

Washington
(7/22/2022)

Wisconsin
(1/21/2022)

Exams

State Security Law Exam

Series 63

Date: 5/17/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/10/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

J. ALDEN ASSOCIATES, INC.

CRD#: 40002 / SEC#: , 8-48938

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

37 West Ave Suite 301, Wayne, PA 19087

Mailing Address

37 West Ave Suite 300, Wayne, PA 19087

Phone number

(215) 572-8700

Established

Delaware since 10/30/1995

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Robert B. Galbreath

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Bruce Galbreath SR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

FIRST HEARTLAND CAPITAL, INC.

FIRST HEARTLAND CAPITAL, INC.

KESTRA INVESTMENT SERVICES, LLC

WESTPORT FINANCIAL SERVICES, L.L.C.

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 63

Date: 5/17/2000

SIE

Date: 10/1/2018

Series 6

Date: 5/10/2000

FINRA

Current Firm

J. ALDEN ASSOCIATES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

J. ALDEN ASSOCIATES, INC.

TRUST BUT VERIFY

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