James D. King

LINDENWOLD ADVISORS

Reading, PA 19601

Some features on this profile are disabled

CRD#: 851300

Professional summary

James David King is a registered financial advisor currently at LINDENWOLD ADVISORS INC. located in Reading, Pennsylvania.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. James has worked at 6 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view James David King'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

April 28, 2020 - Present

LINDENWOLD ADVISORS INC.

Office #1: 505 Penn Street Suite 200, Reading, PA 19601

RIA

CRD#: 308454

Reading, PA

Past

July 25, 1990 - March 28, 1994

MERIDIAN SECURITIES, INC.

CRD#: 16468

Past

September 15, 1989 - November 28, 1989

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

January 2, 1987 - September 15, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

January 15, 1980 - January 14, 1987

MORGAN STANLEY DW INC.

CRD#: 7556

Past

April 24, 1978 - January 4, 1980

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

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".

LINDENWOLD ADVISORS INC.

LINDENWOLD ADVISORS INC. | LINDENWOLD ADVISORS, LLC

CRD#: 308454 / SEC#: 801-118561

RIA

Registered Investment Advisory firm - (4/27/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(4/28/2020)

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

Series 63

Date: 4/29/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/15/1978

General Securities Representative Examination

Current Firm

LINDENWOLD ADVISORS INC.

LINDENWOLD ADVISORS INC. | LINDENWOLD ADVISORS, LLC

CRD#: 308454 / SEC#: 801-118561

RIA

Registered Investment Advisory firm - (4/27/2020 Approved)

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

505 Penn Street Suite 200, Reading, PA 19601

Mailing Address

Phone number

(610) 396-2448

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- LINDENWOLD ADVISORS, INC. (3/20/2025)

Regulatory assets under management

Total Number of Accounts	336
AUM (Assets Under Management)	$ 278,552,303

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.

Similar Advisors

Sarah Darling

LPL FINANCIAL LLC

IAR

EPHRATA, PA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James D. King

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James David King's CRS (Customer Relationship Summary).

Certified licenses

Experience

LINDENWOLD ADVISORS INC.

MERIDIAN SECURITIES, INC.

PRUDENTIAL EQUITY GROUP, LLC

THOMSON MCKINNON SECURITIES INC.

MORGAN STANLEY DW INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

LINDENWOLD ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/29/1986

Series 7

Date: 4/15/1978

Current Firm

LINDENWOLD ADVISORS INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LINDENWOLD ADVISORS INC.

TRUST BUT VERIFY

Similar Advisors