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1214 East Cary Street, Richmond, VA 23219 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2008-06-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Riverfront Investment Group, Llc | Richmond | VA | 03/2013 | 10/2016 |
| Alps Distributors, Inc. | Richmond | VA | 05/2010 | 05/2026 |
| Riverfront Investment Group, Llc | Richmond | VA | 10/2016 | 05/2017 |
| Riverfront Investment Group, Llc | Richmond | VA | 05/2017 | 03/2020 |
| Riverfront Investment Group, Llc | Richmond | VA | 03/2020 | Present |
1. Connor's Heroes Board of Directors; Not Investment-Related; 1840 W. Broad Street, Suite 300, Richmond, VA 23220; Non-Profit; Board Member; 08/01/2021; 2 HRS/MON; None During Trading Hours. 2. Gamma Investing, LLC; Investment-Related; 1172 Dover Lane Foster City, CA 94404; RIA; Board Member; 01/13/2022; 4 HRS/MON; 2 HRS/MON During Trading Hours; RIA Provides Direct Indexing Solutions.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-09-25 |
| S63 | Uniform Securities Agent State Law Examination | 1999-04-26 |
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