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1214 East Cary Street, Richmond, VA 23219 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2008-03-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Alps Distributors, Inc. | Richmond | VA | 03/2011 | 05/2026 |
| Riverfront Investment Group, Llc | Richmond | VA | 04/2008 | 10/2016 |
| Riverfront Investment Group, Llc | Richmond | VA | 10/2016 | 05/2017 |
| Riverfront Investment Group, Llc | Richmond | VA | 05/2017 | 07/2025 |
| Riverfront Investment Group, Llc | Richmond | VA | 07/2025 | Present |
1.Virginia Institute of Marine Science Foundation; not investment-related; 1375 Greate Rd, Gloucester Point, VA 23062; Marine Biology Education; Foundation Board Member; 10/2022; 2 HRS/Mon; 2 HRS/Mon During Trading Hours. 2. 1693 Partners Fund, PO Box 8795, Williamsburg, VA 23187-8795; investment-related; 1693 Partners Fund is a pooled investment vehicle that manages the combined endowment assets of William & Mary and its affiliated organizations; non-voting Board Member; 8/2026; 1 HR/Mon; 1 HR/Mon during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-02-20 |
| S65 | Uniform Investment Adviser Law Examination | 1992-06-11 |
| S63 | Uniform Securities Agent State Law Examination | 1982-10-12 |
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