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Wendy Lee Kerns

Riverfront Investment Group, LLC

Richmond, VA

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Current Employers
Riverfront Investment Group, Llc

1214 East Cary Street, Richmond, VA 23219 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2008-06-10
  • VA RA
    APPROVED
    Since 2008-06-10

Branch Locations

1214 E. Cary St., Richmond, VA 23219 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Riverfront Investment Group Richmond VA 03/2013 01/2018
Alps Distributors, Inc. Richmond VA 05/2010 05/2026
Riverfront Investment Group, Llc Richmond VA 01/2018 12/2022
Riverfront Investment Group, Llc Richmond VA 01/2023 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-03-10
S63 Uniform Securities Agent State Law Examination 2001-06-13
  • S65 Uniform Investment Adviser Law Examination
    2003-03-10
  • S63 Uniform Securities Agent State Law Examination
    2001-06-13
Other Names
  • Wendy L Stough
  • Wendy Lee Smailes

View on SEC IAPD

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AMERIPRISE FINANCIAL SERVICES, LLC · RICHMOND, VA
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