Erin C. Chase

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CRD#: 6657614

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Erin C Chase, who also goes by Erin Clarke Chase, was a registered financial professional .

Erin is a previously registered financial professional and started their career in finance in 2017. Erin had worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Erin Clarke Chase

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 12, 2017 - January 3, 2018

RIVERFRONT INVESTMENT GROUP, LLC

RIA

CRD#: 146221

RICHMOND, VA

Past

July 3, 2017 - December 31, 2017

ALPS DISTRIBUTORS, INC.

CRD#: 16853

RICHMOND, VA

Past

January 27, 2017 - May 23, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/7/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/27/2017

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/21/2017

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/14/2017

General Securities Sales Supervisor - Options Module Examination

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

Erin C. Chase

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

RIVERFRONT INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/7/2017

SIE

Date: 12/31/2017

Series 7

Date: 1/27/2017

Series 10

Date: 3/21/2017

Series 9

Date: 2/14/2017

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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