Douglas A. Sandler

RIVERFRONT INVESTMENT GROUP

Wilmington, NC

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CRD#: 2254668

Professional summary

Douglas Alan Sandler, who also goes by Doug Sandler, is a registered financial advisor currently at RIVERFRONT INVESTMENT GROUP, LLC located in Wilmington, North Carolina and ALPS DISTRIBUTORS, INC. located in Richmond, Virginia.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Douglas has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 16, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Doug Sandler

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; Investment-Related; 1214 E. Cary St. Richmond, VA 23219; RIA, Vice Chairman; 06/01/2008; 160 HRS/MON; 130 HRS/MON During Trading Hours. 2. ALPS Distributors, Inc.; Investment-Related; 1290 Broadway, Suite 1000 Denver, CO 80203; Broker Dealer; Registered Representative Marketing/Sales for the RiverFront Funds, Distributed by ALPS; 03/01/2010; 10 HRS/MON; 10 HRS/MON During Trading Hours. 3. Trolley Ventures Fund, LLC; Investment-Related; 27 North 17th St Richmond, VA23219; Early Venture Fund; Board Member; 10/01/2017; 1 HR/MON; None During Trading Hours. 4. Heart of Steamboat United Methodist Church; Investment-Related; 736 Oak St Steamboat Springs, CO 80487; Church; Member of Investment Committee; 04/01/2025; 1 HR/MON; None During Trading Hours. 5. Steamboat Winter Sports Club; Not Investment-Related; 845 Howelsen Pkwy Steamboat Springs, CO 80487; Ski Club; Free Ski Coach; 11/01/2025; 50 HRS/MON; None During Trading Hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Alan Sandler'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

March 31, 2008 - Present

RIVERFRONT INVESTMENT GROUP, LLC

RIA

CRD#: 146221

Wilmington, NC

Current

March 29, 2010 - Present

ALPS DISTRIBUTORS, INC.

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

CRD#: 16853

Richmond, VA

Past

October 1, 1999 - April 10, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

RICHMOND, VA

Past

October 1, 1999 - April 10, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

RICHMOND, VA

Past

May 18, 1993 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

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

North Carolina
(9/3/2025)

IAR

North Carolina
(9/3/2025)

IAR

Virginia
(3/31/2008)

Virginia
(12/8/2010)

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

IAR

Series 65

Date: 10/2/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/24/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 12/10/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 16

Date: 11/18/1997

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 7

Date: 5/17/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/11/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

RIVERFRONT INVESTMENT GROUP, LLC

CRD#: 146221 / SEC#: 801-68810

RIA

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

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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.

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Advisor Monitoring

Firm Stability Insights

Douglas A. Sandler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Alan Sandler's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

Primary Firm SEC Registration

RIVERFRONT INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/2/1996

Series 63

Date: 5/24/1993

SIE

Date: 10/1/2018

Series 87

Date: 12/10/2004

Series 16

Date: 11/18/1997

Series 7

Date: 5/17/1993

Series 24

Date: 4/11/2003

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

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