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Current Employers
Colonial River Wealth Management Llc

340 Browns Hill Court, Midlothian, VA 23114 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2018-05-26
  • VA RA
    APPROVED
    Since 2018-05-26

Branch Locations

340 Browns Hill Court, Midlothian, VA 23114 • United States

205 Bulifants Blvd, Suite D, Williamsburg, VA 23188 • United States

2110 William Styron Sq S, Newport News, VA 23606 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Richmond VA 03/2016 04/2018
Pietech Powhatan VA 05/2018 11/2018
Lpl Financial, Llc Midlothian VA 05/2018 Present
Colonial River Investment Midlothian VA 05/2018 Present
  • 03/2016 → 04/2018
    Ameriprise Financial Services, Inc.
    Richmond, VA
  • 05/2018 → 11/2018
    Pietech
    Powhatan, VA
  • 05/2018 → Present
    Lpl Financial, Llc
    Midlothian, VA
  • 05/2018 → Present
    Colonial River Investment
    Midlothian, VA
Previous Registrations
Other Businesses

1. 05/25/2018 - RENTAL PROPERTY - PORTADOWN/ REAL ESTATE RENTAL/ 5%/ 7608 PORTADOWN CT, HENRICO, VA 23228-6427 2. 05/25/2018 - COLONIAL RIVER WEALTH MANAGEMENT/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 30%/ MIDLOTHIAN, VA 3. 05/25/2018 - RENTAL PROPERTY - PROVINCETOWN/ REAL ESTATE RENTAL/ 5%/ 7940 PROVINCETOWN DR, NORTH CHESTERFIELD, VA 23235-5324 4. 5/29/2018 - Colonial River Investments - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Start Date:05/01/2018 - 80 Hour(s) Per Month/4 Hour(s) During Trading - Time Spent: 30% - I provide investment advisory services through Colonial River Investments, an independent investment advisor firm. I started this business activity in 05/2018. I expect to spend approximately 80 hours per month on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 5/29/2018 - Colonial River Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date:05/01/2018 - 80 Hour(s) Per Month/4 Hour(s) During Trading - Time Spent: 30% - I provide investment advisory services through Colonial River Wealth Management, an independent investment advisor firm. I started this business activity in 05/2018. I expect to spend approximately [60 hours per month] on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 2/12/2019 - Colonial River Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 06/01/2018 - 4 Hours Per Month During Securities Trading. 7. 2/25/2021 - Colonial River Investments - DBA: (Hybrid) Lions Bridge Financial Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 06/12/2020 - 40 Hours Per Month/1 Hour During Securities Trading. 8. 09/20/2023 - Sole Proprietorship - Real Estate Rental - Investment Related - Duck, NC - Start Date: 04/01/2023 - 1 Hour Per Month/0 Hours During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-08-18
S63 Uniform Securities Agent State Law Examination 2002-01-09
  • S66 Uniform Combined State Law Examination
    2006-08-18
  • S63 Uniform Securities Agent State Law Examination
    2002-01-09

View on SEC IAPD

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