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Current Employers
Thompson Siegel & Walmsley Llc

6641 West Broad Street Suite 600, Richmond, VA 23230 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2018-05-08
  • VA RA
    APPROVED
    Since 2018-05-08

Branch Locations

6641 West Broad Street Suite 600, Richmond, VA 23230 • 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
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
  • 08/2013 → 03/2018
    Touchstone Investments
    Cincinnati, OH
  • 03/2018 → Present
    Richmond, VA
  • 06/2019 → Present
    Funds Distributor, Llc
    Richmond, VA
Previous Registrations
Other Businesses

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.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2016-09-29
S65 Uniform Investment Adviser Law Examination 2014-09-23
  • S63 Uniform Securities Agent State Law Examination
    2016-09-29
  • S65 Uniform Investment Adviser Law Examination
    2014-09-23

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