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Gary R. Alden

KINGWOOD INVESTMENT GROUP
Kingwood, TX 77339
Some features on this profile are disabled
CRD#: 2515518
GA

Professional summary

Gary Roy Alden, who also goes by Gary R Alden, is a registered financial advisor currently at KINGWOOD INVESTMENT GROUP located in Kingwood, Texas.

Gary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Gary has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 51, Series 24 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Gary R Alden

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 Gary Roy Alden'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

May 9, 2024 - Present

KINGWOOD INVESTMENT GROUP

Office #1: 22001 Northpark Drive Suite 245, Kingwood, TX 77339
RIA
CRD#: 330330
Kingwood, TX
Past

November 17, 2006 - October 18, 2024

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
KINGWOOD, TX
Past

November 17, 2006 - October 18, 2024

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
KINGWOOD, TX
Past

November 12, 2003 - November 27, 2006

LPL FINANCIAL LLC

RIA
CRD#: 6413
KINGWOOD, TX
Past

November 12, 2003 - November 27, 2006

LPL FINANCIAL LLC

BD
CRD#: 6413
KINGWOOD, TX
Past

October 30, 1998 - November 26, 2003

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
THE WOODLANDS, TX
Past

October 30, 1998 - November 26, 2003

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

October 4, 1994 - November 2, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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".
KI
KINGWOOD INVESTMENT GROUP
KINGWOOD INVESTMENT GROUP | KINGWOOD INVESTMENT GROUP, LLC

CRD#: 330330 / SEC#: 801-134979

RIA
Registered Investment Advisory firm - (12/18/2025 Approved)
Texas
Registered Investment Advisory firm - (12/22/2025 Terminated)

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
Texas
(5/9/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/19/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/11/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 7/30/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/3/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/18/2010
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/22/2007
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 30
Date: 8/12/2005
NFA Branch Manager Examination

Current Firm

KI
KINGWOOD INVESTMENT GROUP
KINGWOOD INVESTMENT GROUP | KINGWOOD INVESTMENT GROUP, LLC

CRD#: 330330 / SEC#: 801-134979

RIA
Registered Investment Advisory firm - (12/18/2025 Approved)
Texas
Registered Investment Advisory firm - (12/22/2025 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
22001 Northpark Drive Suite 245, Kingwood, TX 77339
Mailing Address
Phone number
(281) 359-7900
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KIG ADV PART 2A (11/17/2025)

Regulatory assets under management

Total Number of Accounts430
AUM (Assets Under Management)$ 120,083,234

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

KINGWOOD INVESTMENT GROUP

CRD#: 330330Kingwood, TX 77339

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