Allen C. Gardy

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CRD#: 4908677

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.

Allen Carter Gardy JR, who also goes by Allen Carter Gardy Jr., Allen Carter Gardy, was a registered financial professional .

Allen is a previously registered financial professional and started their career in finance in 2005. Allen had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Allen Carter Gardy Jr. | Allen Carter Gardy

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.

Dominari Group LLC Glenside PA Consultant

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 9, 2019 - June 22, 2022

ALDEN CAPITAL

RIA

CRD#: 293551

WAYNE, PA

Past

April 6, 2018 - June 22, 2022

J. ALDEN ASSOCIATES, INC.

CRD#: 40002

WAYNE, PA

Past

January 29, 2015 - September 25, 2017

HARTFORD FUNDS

RIA

CRD#: 147746

WAYNE, PA

Past

September 19, 2014 - December 31, 2014

HARTFORD FUNDS

RIA

CRD#: 147746

RADNOR, PA

Past

May 22, 2013 - September 25, 2017

HARTFORD FUNDS DISTRIBUTORS, LLC

CRD#: 45995

Wayne, PA

Past

January 11, 2011 - October 17, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

June 21, 2010 - October 17, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 9, 2007 - May 10, 2010

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

May 17, 2007 - July 10, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

HUNTINGDON VALLEY, PA

Past

September 22, 2005 - February 8, 2007

MONEY MANAGEMENT ADVISORY, INC.

CRD#: 14983

FEASTERVILLE, PA

Past

March 30, 2005 - September 9, 2005

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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.

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 66

Date: 1/5/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/19/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/2/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/29/2005

Investment Company Products/Variable Contracts Representative Examination

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

Allen C. Gardy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J. ALDEN ASSOCIATES, INC.

HARTFORD FUNDS

HARTFORD FUNDS

HARTFORD FUNDS DISTRIBUTORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LINCOLN FINANCIAL DISTRIBUTORS, INC.

WELLS FARGO CLEARING SERVICES, LLC

MONEY MANAGEMENT ADVISORY, INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

ALDEN CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 1/5/2011

Series 63

Date: 4/19/2005

SIE

Date: 10/1/2018

Series 7

Date: 8/2/2010

Series 6

Date: 3/29/2005

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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