CRD #40002 · FINRA BrokerCheck + SEC IAPD

J. Alden Associates, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, J. Alden Associates, Inc. ranks #1,758 of 20,055 by disclosure count (most disclosures first). Among firms registered in PA, it ranks #20 of 81 on the same disclosure sort used on the state browse page. J. Alden Associates, Inc. carries 4 BrokerCheck disclosures across 9 branch offices - moderate load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
9
branch offices
4
disclosures
#1,758 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 40002 J. Alden Associates, Inc.

J. Alden Associates, Inc. · Grade B · 4 disc · 0.44/office · Small firm

  • CRD 40002
  • GRADE B
  • DISC 4
  • REG 3
  • ARB 0
  • CIV 1
  • BRANCH 9
  • PER-OFF 0.44
  • RANK #1,758 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Cabrera Capital Markets, LLC (0.44 disc/office)

Cabrera Capital Markets…0.44CNR Securities, LLC0.44MM Ascend Life Investor…0.44J. Alden Associates… (this)0.44
Disclosures per office among small firm peers (lower is cleaner)

J. Alden Associates, Inc. ranks #1,758 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.44 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

9 offices

FINRA: Small firm

Total disclosures

4 events

On FINRA BrokerCheck

Regulatory events

3 actions

75% of all disclosures

Disclosures per office

0.44 per office

4 ÷ 9 offices

J. Alden Associates, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 63% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 3
Arbitrations 0
Civil Events 1
Total 4

Counts for J. Alden Associates, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 3 Arbitration 0 Civil 1

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Wayne, PA, 19087
Formed
10/30/1995
State of Formation
Delaware
CRD Number
40002
SEC Number
48938

Regulator-heavy mix

J. Alden Associates, Inc. in the heavier-disclosure third

J. Alden Associates, Inc. carries 4 BrokerCheck disclosures across 9 branch offices - a heavier-third raw book among graded firms (#1,758 of 20,055). Regulator-initiated events are 75% of the book (3 regulatory / 0 arbitration / 1 civil).

75% of J. Alden Associates, Inc.'s 4 disclosures are regulator-initiated (3 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of J. Alden Associates, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Pennsylvania cohort · 0.63× state average

J. Alden Associates, Inc. tracks near the Pennsylvania disclosure average

J. Alden Associates, Inc. reports 4 BrokerCheck disclosures, about 0.63× the Pennsylvania average of 6.4 across 81 graded firms.

In Pennsylvania, 39 firms carry Grade A and 3 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Pennsylvania state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does J. Alden Associates, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, J. Alden Associates, Inc. ranks #1,758 of 20,055 by disclosure count (most disclosures first). Among firms registered in PA, it ranks #20 of 81 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for J. Alden Associates, Inc.?
A grade of B reflects J. Alden Associates, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 4 total disclosures across 9 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does J. Alden Associates, Inc. have?
J. Alden Associates, Inc. has 4 total FINRA disclosures, including 3 regulatory events, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is J. Alden Associates, Inc.?
J. Alden Associates, Inc. operates 9 branch offices and is classified by FINRA as a small firm, registered in PA (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify J. Alden Associates, Inc.'s disciplinary record?
You can verify J. Alden Associates, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 40002. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid J. Alden Associates, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. J. Alden Associates, Inc. carries 4 disclosures across 9 branch offices (about 0.44 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for J. Alden Associates, Inc., both outside PA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.