Robert C. Elliott

RIVERFRONT INVESTMENT GROUP

Baltimore, MD

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CRD#: 7025198

Professional summary

Robert Coleman Elliott, who also goes by Cole Elliott, is a registered financial advisor currently at RIVERFRONT INVESTMENT GROUP, LLC located in Baltimore, Maryland and ALPS DISTRIBUTORS, INC. located in Richmond, Virginia.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Robert has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cole Elliott

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 Street Richmond, VA 23219; Investment Advisor; Senior Regional Director - Northeast; 09/2018; 160 Hours/Month 130 Hours/Month during trading; Sales. 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 07/2018

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Coleman Elliott'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

January 22, 2019 - Present

RIVERFRONT INVESTMENT GROUP, LLC

RIA

CRD#: 146221

Baltimore, MD

Current

October 29, 2018 - Present

ALPS DISTRIBUTORS, INC.

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

CRD#: 16853

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

Maryland
(1/3/2022)

IAR

Maryland
(12/19/2022)

Virginia
(1/22/2019)

IAR

Virginia
(1/22/2019)

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 66

Date: 1/17/2019

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/29/2018

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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Robert C. Elliott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Coleman Elliott's CRS (Customer Relationship Summary).

Certified licenses

Experience

RIVERFRONT INVESTMENT GROUP, LLC

ALPS DISTRIBUTORS, INC.

Primary Firm SEC Registration

RIVERFRONT INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/17/2019

SIE

Date: 10/30/2018

Series 7

Date: 10/29/2018

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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