Karrie B. Southall

RIVERFRONT INVESTMENT GROUP

RICHMOND, VA 23219

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CRD#: 3082873

Professional summary

Karrie Burnham Southall, who also goes by Karrie Aleta Burnham, Karrie Aleta Southall, is a registered financial advisor currently at RIVERFRONT INVESTMENT GROUP, LLC located in Richmond, Virginia and ALPS DISTRIBUTORS, INC. located in Richmond, Virginia.

Karrie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Karrie has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Karrie Aleta Burnham | Karrie Aleta Southall

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 East Cary St Richmond, VA 23219; RIA; Chief Operating Officer; 06/01/2008; 180 HRS/MON; 130 HRS/MON During Trading Hours. 2. ALPS Distributors; Investment-Related; 1290 Broadway Suite 1000 Denver, CO 80203; Broker Dealer; Registered Representative of a Broker Dealer- Marketing/Sales for the RiverFront Funds, Distributed by ALPS; 05/03/2010; 10 HRS/MON; 10 HRS/MON During Trading Hours. 3. Connor's Heroes Board of Directors; Not Investment-Related; PO BOX 2536 Midlothian, VA 23113; Non-Profit; Board Member; 08/01/2021; 2 HRS/MON; None During Trading Hours. 4. Gamma Investing, LLC; Investment-Related; 1172 Dover Lane Foster City, CA 94404; RIA; Board Member; 01/13/2022; 4 HRS/MON; 2 HRS/MON During Trading Hours; RIA Provides Direct Indexing Solutions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karrie Burnham Southall'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

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

RIA

CRD#: 146221

RICHMOND, VA

Current

May 7, 2010 - Present

ALPS DISTRIBUTORS, INC.

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

CRD#: 16853

Richmond, VA

Past

November 14, 2000 - June 10, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

RICHMOND, VA

Past

October 1, 1999 - June 10, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

RICHMOND, VA

Past

April 8, 1999 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

March 24, 1999 - April 8, 1999

BRANCH, CABELL & CO., INC.

CRD#: 6820

RICHMOND, VA

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

IAR

Virginia
(6/10/2008)

Virginia
(5/7/2010)

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: 9/25/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/26/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/23/1999

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)

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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

Karrie B. Southall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karrie Burnham Southall'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.

BRANCH, CABELL & CO., INC.

Primary Firm SEC Registration

RIVERFRONT INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2000

Series 63

Date: 4/26/1999

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/23/1999

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

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