CH
Charles D. Hicks
J. ALDEN ASSOCIATES
Doylestown, PA 18901
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CRD#: 4809306
CH
Professional summary
Charles David Hicks is a registered financial professional currently at J. ALDEN ASSOCIATES, INC. located in Doylestown, Pennsylvania.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2004. Charles has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Charles David Hicks'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
September 26, 2008 - Present
J. ALDEN ASSOCIATES, INC.
Office #1: 48 West Oakland Ave., Doylestown, PA 18901Office #2: 37 West Ave Suite 301, Wayne, PA 19087BD
CRD#: 40002
Doylestown, PA
Past
August 9, 2004 - September 25, 2008
FIRST HEARTLAND CAPITAL, INC.
BD
CRD#: 32460
GADSDEN, AL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(10/1/2008)
RR
Arkansas(9/9/2020)
RR
California(11/7/2023)
RR
Georgia(9/9/2020)
RR
Kentucky(9/17/2020)
RR
Louisiana(12/21/2023)
RR
Mississippi(9/9/2020)
RR
Missouri(1/26/2024)
RR
New York(9/12/2020)
RR
North Carolina(4/21/2021)
RR
Ohio(11/4/2021)
RR
South Carolina(4/21/2021)
RR
South Dakota(4/9/2024)
RR
Tennessee(9/9/2020)
RR
Texas(11/4/2021)
RR
Virginia(3/2/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JA
J. ALDEN ASSOCIATES, INC.
ADI-DASSLER INTERNATIONAL OFFICE | THE GALBREATH GROUP | STRATEGIC WEALTH MANAGEMENT | SHARP FINANCIAL | PURSUE WEALTH PARTMERS, LLC | PINE VALLEY INVESTMENTS | NEWCLEUS | NEMES RUSH | MONUMENTAL INVESTMENTS | MADISON SIXTY, LLC | KINGS MANAGMENT | J. ALDEN ASSOCIATES, INC. | ATHENA | AMBASSADOR FINANCIAL GROUP, LLC | ALDEN INVESTMENT GROUP
CRD#: 40002 / SEC#: , 8-48938
BD
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)
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.
