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1214 East Cary Street, Richmond, VA 23219 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2013-05-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Riverfront Investment Group, Llc | Richmond | VA | 01/2015 | 10/2016 |
| Alps Distributors, Inc. | Richmond | VA | 07/2012 | 05/2026 |
| Riverfront Investment Group, Llc | Richmond | VA | 10/2016 | 01/2019 |
| Riverfront Investment Group, Llc | Richmond | VA | 01/2019 | Present |
1. NUTTALL STORE LLC, NOT INVESTMENT-RELATED, PO BOX 84 WARE NECK VA 23178, COUNTRY STORE, PARTNER, 1 HR/MON, NONE DURING TRADING HOURS. 2. ETF ACTION; INVESTMENT-RELATED; 4785 TEJON ST STE 201 DENVER, CO 80211; ETF RESEARCH AND ANALYTICS; BOARD OF DIRECTORS; STRATEGIC AND FINANCIAL ADVICE; 01/26/2022; 8 HRS/MON; 4 HRS/MON DURING TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 1991-10-22 |
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