LC
Lee A. Calfo
ALDEN CAPITAL
Wayne, PA 19087
Some features on this profile are disabled
CRD#: 4782334
LC
Professional summary
Lee Albert Calfo is a registered financial advisor currently at ALDEN CAPITAL located in Wayne, Pennsylvania and ALDEN INVESTMENT GROUP located in Wayne, Pennsylvania.
Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Lee has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 79, Series 86, Series 87, Series 7 and Series 24 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.
R5 PARTNERS INC. OFFICER - PERSONAL HOLDING COMPANY. MARCH 2012. WAYNE, PA GREEN MOUNTAIN HOLDINGS - CONSULTANT MSA - BOARD MEMBER JUNE 2014 J Alden Associates, Inc. - CEO 9/2018 Alden Capital Management - CEO 9/20118 Equalize Capital - CEO 03/2019 Alden Investment Advisors - CEO 7/2022 Alden Investment Group - President - CEO 6/2023
CRS (Client Relationship Summary) - RIA
Click below to view Lee Albert Calfo's 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®
NoneExperience
Current
August 20, 2018 - Present
ALDEN CAPITAL
Office #1: 37 West Ave Suite 301, Wayne, PA 19087RIA
CRD#: 293551
Wayne, PA
Current
July 26, 2022 - Present
ALDEN INVESTMENT GROUP
Office #1: 37 West Avenue Suite 301, Wayne, PA 19087RIA
CRD#: 317077
Wayne, PA
Current
September 25, 2025 - Present
EQUALIZE CAPITAL LLC
Office #1: 37 West Avenue. Suite 301, Wayne, PA 19087RIA
CRD#: 300640
Wayne, PA
Current
July 31, 2018 - Present
J. ALDEN ASSOCIATES, INC.
Office #1: 37 West Ave. Ste 301, Wayne, PA 19087Office #2: 48 West Oakland Ave., Doylestown, PA 18901Office #3: 37 West Ave Suite 301, Wayne, PA 19087BD
CRD#: 40002
Wayne, PA
Past
March 20, 2019 - December 31, 2022
EQUALIZE CAPITAL LLC
RIA
CRD#: 300640
WAYNE, PA
Past
October 31, 2012 - May 20, 2019
MCG SECURITIES LLC
BD
CRD#: 163144
WAYNE, PA
Past
May 22, 2012 - November 8, 2012
CV BROKERAGE, INC
BD
CRD#: 462
WILLIAMSTOWN, NJ
Past
September 23, 2011 - January 13, 2021
BLUESTONE CAPITAL MANAGEMENT, LLC
RIA
CRD#: 157841
WAYNE, PA
Past
May 21, 2010 - November 10, 2011
VALLEY BROOK CAPITAL GROUP
RIA
CRD#: 122460
KING OF PRUSSIA, PA
Past
February 11, 2010 - May 21, 2012
DAUTRICH, SEILER FINANCIAL SERVICES, INC.
BD
CRD#: 29421
WAYNE, PA
Past
June 30, 2008 - January 11, 2010
BOENNING & SCATTERGOOD, INC.
RIA
CRD#: 100
WEST CONSHOHOCKEN, PA
Past
December 7, 2007 - January 11, 2010
BOENNING & SCATTERGOOD, INC.
BD
CRD#: 100
WEST CONSHOHOCKEN, PA
Past
April 30, 2004 - November 12, 2007
COHEN & COMPANY SECURITIES, LLC
BD
CRD#: 104002
BETHESDA, MD
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".
AC
ALDEN CAPITAL
ALDEN CAPITAL | STRATEGIC WEALTH MANAGEMENT ADVISORS | SPARTA WEALTH PARTNERS | MYZ FINANCIAL & INSURANCE SERVICES | GUERRA PAN ADVISORS, LLC | COURSEMARK | ALDEN INVESTMENT GROUP | ALDEN CAPITAL MANAGEMENT, LLC | ALDEN CAPITAL MANAGEMENT INC.
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)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.RR
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
RR
Alabama(8/14/2023)
IAR
Alabama(9/5/2023)
RR
Alaska(8/14/2023)
IAR
Alaska(9/20/2023)
RR
Arizona(8/14/2023)
IAR
Arizona(9/20/2023)
RR
Arkansas(8/14/2023)
IAR
Arkansas(9/6/2023)
RR
California(8/14/2023)
IAR
California(9/6/2023)
RR
Colorado(8/14/2023)
IAR
Colorado(9/5/2023)
RR
Connecticut(8/14/2023)
IAR
Connecticut(9/6/2023)
RR
Delaware(8/14/2023)
IAR
Delaware(9/18/2023)
RR
District of Columbia(8/14/2023)
RR
Florida(8/14/2023)
RR
Georgia(8/14/2023)
IAR
Georgia(9/7/2023)
RR
Hawaii(8/14/2023)
IAR
Hawaii(11/8/2023)
RR
Idaho(8/14/2023)
IAR
Idaho(9/6/2023)
RR
Illinois(8/14/2023)
IAR
Illinois(9/8/2023)
RR
Indiana(8/14/2023)
IAR
Indiana(9/6/2023)
RR
Iowa(8/14/2023)
IAR
Iowa(9/8/2023)
RR
Kansas(8/14/2023)
IAR
Kansas(9/5/2023)
RR
Kentucky(8/14/2023)
IAR
Kentucky(9/6/2023)
RR
Louisiana(8/14/2023)
IAR
Louisiana(9/6/2023)
RR
Maine(8/14/2023)
IAR
Maine(9/6/2023)
RR
Maryland(8/14/2023)
IAR
Maryland(9/5/2023)
RR
Massachusetts(8/14/2023)
IAR
Massachusetts(11/15/2023)
RR
Michigan(8/14/2023)
IAR
Michigan(9/7/2023)
RR
Minnesota(8/14/2023)
IAR
Minnesota(9/6/2023)
RR
Mississippi(8/14/2023)
IAR
Mississippi(9/7/2023)
RR
Missouri(8/14/2023)
RR
Montana(8/14/2023)
IAR
Montana(9/6/2023)
RR
Nebraska(8/14/2023)
IAR
Nebraska(9/19/2023)
RR
Nevada(10/22/2019)
IAR
Nevada(9/11/2023)
RR
New Hampshire(8/29/2019)
IAR
New Hampshire(9/6/2023)
RR
New Jersey(8/14/2023)
IAR
New Jersey(9/6/2023)
RR
New Mexico(8/14/2023)
IAR
New Mexico(9/6/2023)
RR
New York(8/14/2023)
IAR
New York(9/5/2023)
IAR
North Carolina(3/12/2020)
RR
North Carolina(8/14/2023)
RR
North Dakota(8/14/2023)
IAR
North Dakota(9/12/2023)
RR
Ohio(8/14/2023)
IAR
Ohio(9/6/2023)
RR
Oklahoma(8/14/2023)
IAR
Oklahoma(9/6/2023)
RR
Oregon(8/19/2019)
IAR
Pennsylvania(8/20/2018)
RR
Pennsylvania(7/11/2019)
RR
Puerto Rico(8/14/2023)
IAR
Puerto Rico(9/5/2023)
RR
Rhode Island(8/14/2023)
IAR
Rhode Island(9/6/2023)
RR
South Carolina(8/14/2023)
IAR
South Carolina(9/8/2023)
RR
South Dakota(8/14/2023)
IAR
South Dakota(9/5/2023)
RR
Tennessee(8/14/2023)
RR
Texas(8/14/2023)
IAR
Texas(9/5/2023)
RR
Utah(7/15/2019)
IAR
Utah(9/5/2023)
RR
Vermont(8/14/2023)
IAR
Vermont(9/6/2023)
RR
Virgin Islands(8/14/2023)
IAR
Virgin Islands(9/7/2023)
RR
Virginia(8/14/2023)
IAR
Virginia(9/6/2023)
RR
Washington(8/14/2023)
IAR
Washington(9/6/2023)
RR
West Virginia(8/14/2023)
IAR
West Virginia(9/8/2023)
RR
Wisconsin(8/14/2023)
IAR
Wisconsin(9/6/2023)
RR
Wyoming(8/14/2023)
IAR
Wyoming(9/6/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AC
ALDEN CAPITAL
ALDEN CAPITAL | STRATEGIC WEALTH MANAGEMENT ADVISORS | SPARTA WEALTH PARTNERS | MYZ FINANCIAL & INSURANCE SERVICES | GUERRA PAN ADVISORS, LLC | COURSEMARK | ALDEN INVESTMENT GROUP | ALDEN CAPITAL MANAGEMENT, LLC | ALDEN CAPITAL MANAGEMENT INC.
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)Upgrade to AdvisorCheck Premium
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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
24
SEC notice filing (53 States and Territories)
Documents
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.
