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6641 West Broad Street Suite 600, Richmond, VA 23230 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2018-05-08 |
Branch Locations
6641 West Broad Street Suite 600, Richmond, VA 23230 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Touchstone Investments | Cincinnati | OH | 08/2013 | 03/2018 |
| Thompson, Siegel & Walmsley Llc | Richmond | VA | 03/2018 | Present |
| Funds Distributor, Llc | Richmond | VA | 06/2019 | Present |
1) THOMPSON, SIEGEL & WALMSLEY LLC, RICHMOND, VA, INVESTMENT RELATED-RIA, START DATE 3/19/18, CHIEF COMPLIANCE OFFICER, OVERSIGHT OF COMPLIANCE PROGRAM, 160 HOURS PER MONTH WITH ALL DURING SECURITIES TRADING HOURS. 2) IN ADDITION TO BEING AN INVESTMENT ADVISOR REPRESENTATIVE OF Thompson, Siegel & Walmsley LLC, THIS ASSOCIATE IS A REGISTERED REPRESENTATIVE OF Funds Distributor, LLC, AN UNAFFILIATED BROKER DEALER. THE ASSOCIATE IS A REGISTERED REPRESENTATIVE FOR PURPOSES OF Funds Distributor, LLC. 3) Toluca Properties LLC; Non-Investment Related; Raleigh, NC; 9/5/2019; Property Rental; POA for Member; No official/regular duties - LLC formed to rent out condo in Chapel Hill, NC. Day-to-day property rental and administration activities to a rental company; 1 hour per month with 0 during trading hours. 4) St. Mary's Episcopal Church; Richmond, VA; Investment related - Yes; Started 09/23/2022; Religious Organization; Finance Committee Member; Service on church finance committee; 1 hour per month with 0 hours during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2016-09-29 |
| S65 | Uniform Investment Adviser Law Examination | 2014-09-23 |
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