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1214 East Cary Street, Richmond, VA 23219 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2012-11-14 |
| VA | RA | APPROVED | 2012-05-03 |
Branch Locations
1214 East Cary Street, Richmond, VA 23219 • United States
Thiensville, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Riverfront Investment Group, Llc | Richmond | VA | 08/2011 | 12/2019 |
| Alps Distributors, Inc. | Richmond | VA | 08/2011 | 05/2026 |
| Riverfront Investment Group, Llc | Richmond | VA | 01/2020 | 01/2024 |
| Riverfront Investment Group, Llc | Richmond | VA | 01/2024 | Present |
1. Whitefish Bay Gridiron Club Inc; Address on File; Investment-Related; Non-Profit Fundraising for Local Football Teams; President; 5 HRS/MON; None During Trading Hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-05-23 |
| S63 | Uniform Securities Agent State Law Examination | 1996-04-04 |
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