Louis D. Rivera

ALDEN INVESTMENT GROUP

Buffalo, NY

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CRD#: 5446127

Professional summary

Louis Daniel Rivera is a registered financial advisor currently at ALDEN INVESTMENT GROUP located in Buffalo, New York and J. ALDEN ASSOCIATES, INC. located in Wayne, Pennsylvania.

Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Louis has worked at 5 firms and has passed the Series 63, SIE and Series 6 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.

1) Independent insurance salesman - Health, Life, Disability and Annuity Products. 2) RENTAL PROPERTY, 157 VICTORIA BLVD, KENMORE, NY, STARTING 11/1/23, 2 UNITS, 3 HOURS PER MONTH,0 DURING TRADING, NOT INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Daniel Rivera'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

August 1, 2024 - Present

ALDEN INVESTMENT GROUP

RIA

CRD#: 317077

Buffalo, NY

Current

August 1, 2024 - Present

J. ALDEN ASSOCIATES, INC.

Office #1: 37 West Ave Suite 301, Wayne, PA 19087

CRD#: 40002

Wayne, PA

Past

May 4, 2021 - August 1, 2024

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

WILLIAMSVILLE, NY

Past

September 1, 2015 - August 1, 2024

CADARET, GRANT & CO., INC.

CRD#: 10641

WILLIAMSVILLE, NY

Past

November 21, 2014 - September 11, 2015

LPL FINANCIAL LLC

CRD#: 6413

WILLIAMSVILLE, NY

Past

September 8, 2011 - November 26, 2014

CADARET, GRANT & CO., INC.

CRD#: 10641

WILIAMSVILLE, NY

Past

February 29, 2008 - September 9, 2011

SIGNATOR INVESTORS, INC.

CRD#: 468

WILLIAMSVILLE, 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".

ALDEN INVESTMENT GROUP

CRD#: 317077 / SEC#: 801-122688

RIA

Registered Investment Advisory firm - (11/12/2021 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.

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

Florida
(8/1/2024)

IAR

Louisiana
(4/17/2025)

New York
(8/1/2024)

IAR

New York
(8/1/2024)

Ohio
(8/1/2024)

Virginia
(9/5/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/8/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/28/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ALDEN INVESTMENT GROUP

CRD#: 317077 / SEC#: 801-122688

RIA

Registered Investment Advisory firm - (11/12/2021 Approved)

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Contact information

Main Address

37 West Avenue Suite 301, Wayne, PA 19087-3226

Mailing Address

Phone number

(215) 572-8700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (8/7/2025)

Regulatory assets under management

Total Number of Accounts	978
AUM (Assets Under Management)	$ 319,233,679

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.

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Firm Stability Insights

Louis D. Rivera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Daniel Rivera's CRS (Customer Relationship Summary).

Certified licenses

Experience

J. ALDEN ASSOCIATES, INC.

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

LPL FINANCIAL LLC

CADARET, GRANT & CO., INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

ALDEN INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 10/8/2008

SIE

Date: 10/1/2018

Series 6

Date: 2/28/2008

FINRA

Current Firm

ALDEN INVESTMENT GROUP

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALDEN INVESTMENT GROUP

TRUST BUT VERIFY

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