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1214 East Cary Street, Richmond, VA 23219 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-09-03 |
| VA | RA | APPROVED | 2008-03-31 |
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 | 08/2017 |
| Alps Distributors, Inc. | Denver | CO | 03/2010 | 05/2026 |
| Riverfront Investment Group, Llc | Richmond | VA | 08/2017 | 12/2023 |
| Riverfront Investment Group, Llc | Richmond | VA | 12/2023 | Present |
1. Trolley Ventures Fund, LLC; Investment-Related; 27 North 17th St Richmond, VA23219; Early Venture Fund; Board Member; 10/01/2017; 1 HR/MON; None During Trading Hours. 2. Heart of Steamboat United Methodist Church; Investment-Related; 736 Oak St Steamboat Springs, CO 80487; Church; Member of Investment Committee; 04/01/2025; 1 HR/MON; None During Trading Hours. 3. Steamboat Winter Sports Club; Not Investment-Related; 845 Howelsen Pkwy Steamboat Springs, CO 80487; Ski Club; Free Ski Coach; 11/01/2025; 50 HRS/MON; None During Trading Hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-10-02 |
| S63 | Uniform Securities Agent State Law Examination | 1993-05-24 |
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