Timothy E. Anderson

RIVERFRONT INVESTMENT GROUP

Juno Beach, FL

Some features on this profile are disabled

CRD#: 1533533

Professional summary

Timothy Edwin Anderson is a registered financial advisor currently at RIVERFRONT INVESTMENT GROUP, LLC located in Juno Beach, Florida and ALPS DISTRIBUTORS, INC. located in Richmond, Virginia.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Timothy has worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 16 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. RIVERFRONT INVESTMENT GROUP, LLC, 1214 E. CARY ST., RICHMOND, VA 23219, BUSINESS IS INVESTMENT RELATED - RIA, LEAD MULTI-ASSET POTFOLIO MANAGER, 160 HOURS/MONTH, 130 HRS/MON DURING TRADING HOURS START DATE 06/2008. 2. ALPS DISTRIBUTORS, 1290 BROADWAY, SUITE 1000, DENVER, CO 80203. BUSINESS IS INVESTMENT RELATED - BROKER DEALER, REGISTERED REPRESENTATIVE MARKETING/SALES FOR THE RIVERFRONT FUNDS, DISTRIBUTED BY ALPS. 10 HOURS/MONTH DURING TRADING HOURS. START DATE: 01/2012

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Edwin Anderson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 10, 2008 - Present

RIVERFRONT INVESTMENT GROUP, LLC

RIA

CRD#: 146221

Juno Beach, FL

Current

June 21, 2010 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 1214 E. Cary Street, Richmond, VA 23219

CRD#: 16853

Richmond, VA

Past

November 20, 2006 - June 10, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

RICHMOND, VA

Past

May 13, 2004 - June 10, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

RICHMOND, VA

Past

October 1, 1999 - June 25, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 19, 1999 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

August 19, 1986 - September 22, 1986

EQUITY SERVICES, INC.

CRD#: 265

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RIVERFRONT INVESTMENT GROUP, LLC

CRD#: 146221 / SEC#: 801-68810

RIA

Registered Investment Advisory firm - (2/14/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(4/5/2022)

IAR

Florida
(6/17/2022)

IAR

Virginia
(6/10/2008)

Virginia
(8/9/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/6/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/17/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 16

Date: 12/20/2004

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 7

Date: 2/18/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

RIVERFRONT INVESTMENT GROUP, LLC

CRD#: 146221 / SEC#: 801-68810

RIA

Registered Investment Advisory firm - (2/14/2008 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1214 East Cary Street, Richmond, VA 23219

Mailing Address

Phone number

(804) 549-4800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RIG ADV PART 2 BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	977
AUM (Assets Under Management)	$ 1,183,036,522

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Timothy E. Anderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Edwin Anderson's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

EQUITY SERVICES, INC.

Primary Firm SEC Registration

RIVERFRONT INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/6/2010

Series 66

Date: 11/17/2006

SIE

Date: 10/1/2018

Series 16

Date: 12/20/2004

Series 7

Date: 2/18/1999

FINRA

Current Firm

RIVERFRONT INVESTMENT GROUP, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIVERFRONT INVESTMENT GROUP, LLC

TRUST BUT VERIFY

Similar Advisors