William T. Galbreath
Professional summary
William Thomas Galbreath is a registered financial professional currently at J. ALDEN ASSOCIATES, INC. located in Wayne, Pennsylvania.
William is registered as a RR (Registered Representative) and started their career in finance in 2007. William has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Thomas Galbreath's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 6, 2021 - Present
J. ALDEN ASSOCIATES, INC.
Office #1: 37 West Ave Suite 301, Wayne, PA 19087March 6, 2007 - August 11, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/21/2022)
(1/7/2022)
(7/20/2022)
(2/19/2022)
(1/7/2022)
(1/21/2022)
(1/26/2022)
(1/6/2022)
(1/7/2022)
(8/20/2021)
(1/6/2022)
Exams
FINRA
Current Firm
J. ALDEN ASSOCIATES, INC.
CRD#: 40002 / SEC#: , 8-48938
Contact information
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
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