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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 |
|---|---|---|---|---|
| Alps Distributors, Inc. | Denver | CO | 07/2010 | 05/2026 |
| Riverfront Investment Group, Llc | Richmond | VA | 02/2012 | 01/2018 |
| Riverfront Investment Group, Llc | Richmond | VA | 01/2018 | 12/2019 |
| Riverfront Investment Group, Llc | Richmond | VA | 01/2020 | 05/2021 |
| Riverfront Investment Group, Llc | Richmond | VA | 05/2021 | 07/2025 |
| Riverfront Investment Group, Llc | Richmond | VA | 07/2025 | Present |
1. Children's Home Society of Virginia; Investment-Related; 9700 Fitzhugh Ave, Richmond VA 23230; Non-Profit to Serve At-Risk Foster Children; Treasurer; 01/02/2012; 1 HR/MON; 1 HR/MON During Trading Hours; Advising on Investments. 2. Vintage Car Compass; Not-Investment Related; Address on File; Consulting on Vintage Car Acquisition; 01/21/2024; 10 HRS/MON; 1 HR/MON During Trading Hours. 3. VCU College of Engineering Foundation Finance Committee; Investment-Related; 601 W Main St, Richmond, VA 23220; University; Trustee on Finance Committee; 1/1/2025; 1 HR/MON; 1 HR/MON During Trading Hours; Vet Investment Strategy.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-04-21 |
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