Jason E. Niziol

J. ALDEN ASSOCIATES

Wayne, PA 19087

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CRD#: 5455889

Professional summary

Jason Edward Niziol is a registered financial professional currently at J. ALDEN ASSOCIATES, INC. located in Wayne, Pennsylvania.

Jason is registered as a RR (Registered Representative) and started their career in finance in 2007. Jason has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jason Edward Niziol'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 18, 2023 - Present

J. ALDEN ASSOCIATES, INC.

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

CRD#: 40002

Wayne, PA

Past

November 11, 2019 - August 14, 2023

CARTER, TERRY & COMPANY, INC.

CRD#: 16365

ATLANTA, GA

Past

March 30, 2017 - June 11, 2019

PREFERRED CAPITAL SECURITIES, LLC

CRD#: 169719

Atlanta, GA

Past

June 9, 2011 - April 18, 2017

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

Suwanee, GA

Past

July 2, 2008 - July 23, 2009

E*TRADE SECURITIES LLC

CRD#: 29106

ALPHARETTA, GA

Past

December 13, 2007 - May 5, 2008

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

ATLANTA, GA

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

Arizona
(8/18/2023)

Florida
(8/18/2023)

Georgia
(8/18/2023)

Louisiana
(3/10/2025)

New York
(8/22/2025)

North Carolina
(8/18/2023)

Ohio
(12/20/2023)

Texas
(8/18/2023)

Exams

State Security Law Exam

Series 63

Date: 1/22/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 12/27/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/12/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/7/2018

General Securities Principal 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	2
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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Firm Stability Insights

Jason E. Niziol

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jason Edward Niziol's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARTER, TERRY & COMPANY, INC.

PREFERRED CAPITAL SECURITIES, LLC

PATRICK CAPITAL MARKETS, LLC

E*TRADE SECURITIES LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/22/2008

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 12/27/2007

Series 7

Date: 12/12/2007

Series 24

Date: 12/7/2018

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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