WK
Wendy L. Kerns
RIVERFRONT INVESTMENT GROUP
RICHMOND, VA 23219
Some features on this profile are disabled
CRD#: 2440119
WK
Professional summary
Wendy Lee Kerns, who also goes by Wendy Lee Smailes, Wendy L Stough, is a registered financial advisor currently at RIVERFRONT INVESTMENT GROUP, LLC located in Richmond, Virginia and ALPS DISTRIBUTORS, INC. located in Richmond, Virginia.
Wendy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Wendy has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wendy Lee Smailes | Wendy L Stough
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; INVESTMENT-RELATED; RIA; TECHNOLOGY PROGRAM MANAGER; 180 HOURS/MONTH, 130 HOURS/MONTH DURING TRADING HOURS; START DATE 06/2008 2. ALPS DISTRIBUTORS INC.; 1290 BROADWAY, SUITE 1000, DENVER, CO 80203; INVESTMENT RELATED; BROKER DEALER; REGISTERED REPRESENTATIVE; MARKETING/SALES FOR THE RIVERFRONT FUNDS, DISTRIBUTED BY ALPS; 160 HOURS/MONTH; 130 HOURS/MONTH DURING TRADING HOURS. START DATE: 05/2010.
CRS (Client Relationship Summary) - RIA
Click below to view Wendy Lee Kerns's 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®
NoneExperience
Current
June 10, 2008 - Present
RIVERFRONT INVESTMENT GROUP, LLC
Office #1: 1214 E. Cary St., Richmond, VA 23219RIA
CRD#: 146221
RICHMOND, VA
Current
May 17, 2010 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 1214 E. Cary Street, Richmond, VA 23219BD
CRD#: 16853
Richmond, VA
Past
March 13, 2003 - June 10, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
RICHMOND, VA
Past
February 21, 2001 - June 10, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
RICHMOND, VA
Past
October 1, 1999 - December 20, 2000
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
May 14, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
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".
RI
RIVERFRONT INVESTMENT GROUP, LLC
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.RR
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
RR
Alabama(8/28/2024)
RR
Arizona(8/28/2024)
RR
Arkansas(8/28/2024)
RR
California(8/28/2024)
RR
Colorado(8/28/2024)
RR
Connecticut(8/28/2024)
RR
Delaware(8/28/2024)
RR
District of Columbia(8/28/2024)
RR
Florida(8/28/2024)
RR
Georgia(8/28/2024)
RR
Illinois(8/28/2024)
RR
Indiana(8/28/2024)
RR
Iowa(8/28/2024)
RR
Kansas(8/28/2024)
RR
Kentucky(8/28/2024)
RR
Maryland(8/28/2024)
RR
Massachusetts(8/28/2024)
RR
Michigan(8/28/2024)
RR
Minnesota(8/28/2024)
RR
Mississippi(8/28/2024)
RR
Missouri(8/28/2024)
RR
New Jersey(8/28/2024)
RR
New York(8/28/2024)
RR
North Carolina(8/28/2024)
RR
North Dakota(8/28/2024)
RR
Ohio(8/28/2024)
RR
Oklahoma(8/28/2024)
RR
Oregon(8/28/2024)
RR
Pennsylvania(8/28/2024)
RR
Rhode Island(8/28/2024)
RR
South Dakota(8/28/2024)
RR
Tennessee(8/28/2024)
RR
Texas(8/28/2024)
IAR
Virginia(6/10/2008)
RR
Virginia(5/17/2010)
RR
Wisconsin(8/28/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RI
RIVERFRONT INVESTMENT GROUP, LLC
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
45
SEC notice filing (51 States and Territories)
Documents
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.
Company Information
RIVERFRONT INVESTMENT GROUP, LLC
CRD#: 146221Richmond, VA 23219TRUST BUT VERIFY
Monitor Wendy Kerns
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
