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Detailed Report
WILLIAM ROSS SMALL
CRD#: 426680
IA
Investment Adviser
B
Broker
ALDEN CAPITALCRD#: 293551 420 Benigno Blvd
KOR East Unit A
Bellmawr, NJ 08031
J. ALDEN ASSOCIATES, INC.CRD#: 40002 420 BENIGNO BLVD., 1ST FLOOR
KOR-EAST, UNIT A
BELLMAWR, NJ 08031
Registration History
1970197519801985199019952000200520102015202020252 FIRMS2019 - Present (5 years)IARMAS, INC. (CRD# 118242)2011 - Present (14 years)BCAPITOL SECURITIES MANAGEMENT,... (CRD# 14169)2010 - 2019 (8 years)BLINCOLN FINANCIAL SECURITIES C... (CRD# 3870)1978 - 2010 (32 years)BCG EQUITY SALES COMPANY (CRD# 145)1970 - 1979 (8 years)IAINDEPENDENT ADVISERS GROUP CORP (CRD# 106684)2010 - 2010 (<1 year)IAINDEPENDENT ADVISERS GROUP CORP (CRD# 106684)2006 - 2009 (3 years)
License(s)

State Registrations

B
Connecticut 7/15/2019
B
New York 7/15/2019
B
Florida 7/15/2019
B
Oregon 8/19/2019
B
Georgia 7/15/2019
IA
Pennsylvania 6/5/2012
B
Maryland 7/15/2019
B
Pennsylvania 7/15/2019
B
Massachusetts 7/15/2019
IA
Texas 4/27/2017
IA
New Jersey 1/4/2011
B
Texas 7/15/2019
B
New Jersey 7/15/2019
B
Virginia 7/17/2019

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
J. ALDEN ASSOCIATES, INC. (CRD#:40002)
420 BENIGNO BLVD., 1ST FLOOR KOR-EAST, UNIT A, BELLMAWR, NJ 08031
420 Benigno Blvd. 1st Floor KOR East Unit A, Mellmawr, NJ 08031
Registered with this firm since 7/15/2019
IA
ALDEN CAPITAL (CRD#:293551)
420 Benigno Blvd KOR East Unit A, Bellmawr, NJ 08031
Registered with this firm since 7/15/2019
IA
RMAS, INC. (CRD#:118242)
420 BENIGNO BLVD., 1ST FLOOR KOR-EAST, UNIT A, BELLMAWR, NJ 08031
Registered with this firm since 1/4/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 09/24/2010 - 07/15/2019 CAPITOL SECURITIES MANAGEMENT, INC. (CRD#:14169) BELLMAWR, NJ
IA
 02/25/2010 - 10/06/2010 INDEPENDENT ADVISERS GROUP CORP (CRD#:106684) MT. EPHRAIM, NJ
B
 08/10/1978 - 10/04/2010 LINCOLN FINANCIAL SECURITIES CORPORATION (CRD#:3870) MT EPHRAIM, NJ
IA
 01/05/2006 - 11/13/2009 INDEPENDENT ADVISERS GROUP CORP (CRD#:106684) MT EPHRAIM, NJ
B
 10/26/1970 - 02/11/1979 CG EQUITY SALES COMPANY (CRD#:145)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.