MR
Michael E. Resch
J. ALDEN ASSOCIATES
Allentown, PA 18104
Some features on this profile are disabled
CRD#: 6419536
MR
Professional summary
Michael E Resch, who also goes by Mike Resch, is a registered financial professional currently at J. ALDEN ASSOCIATES, INC. located in Allentown, Pennsylvania.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2015. Michael has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Resch
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 Michael E Resch'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 6, 2021 - Present
J. ALDEN ASSOCIATES, INC.
Office #1: 4029 W. Tilghman Street Suite 203, Allentown, PA 18104BD
CRD#: 40002
Allentown, PA
Past
March 27, 2015 - August 11, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
ABINGTON, PA
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(1/21/2022)
RR
Delaware(7/20/2022)
RR
Maryland(1/7/2022)
RR
Mississippi(5/21/2025)
RR
New Jersey(1/26/2022)
RR
New York(1/6/2022)
RR
North Carolina(2/11/2022)
RR
Ohio(1/7/2022)
RR
Pennsylvania(8/20/2021)
RR
Virginia(1/6/2022)
RR
West Virginia(6/23/2022)
RR
Wisconsin(1/21/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/21/2025
Investment Banking Registered Representative ExaminationGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
J. ALDEN ASSOCIATES, INC.
CRD#: 40002Allentown, PA 18104TRUST BUT VERIFY
Monitor Michael Resch
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
