Henry S. Walker

RIVERFRONT INVESTMENT GROUP

Richmond, VA 23219

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CRD#: 7341689

Professional summary

Henry Samuel Walker is a registered financial advisor currently at RIVERFRONT INVESTMENT GROUP, LLC located in Richmond, Virginia.

Henry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Henry has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Henry Samuel Walker'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

May 13, 2026 - Present

RIVERFRONT INVESTMENT GROUP, LLC

Office #1: 1214 East Cary Street, Richmond, VA 23219

RIA

CRD#: 146221

Richmond, VA

Past

June 17, 2025 - March 18, 2026

BTS SECURITIES CORPORATION

CRD#: 8328

LINCOLN, MA

Past

November 30, 2023 - October 1, 2024

ICAPITAL MARKETS LLC

CRD#: 118219

Birmingham, AL

Past

August 6, 2021 - November 30, 2023

SIMON MARKETS LLC

CRD#: 290965

Birmingham, AL

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.

Highlighted states indicate IAR registrations

IAR

Virginia
(5/13/2026)

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 65

Date: 9/4/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/9/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/6/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/29/2021

Securities Industry Essentials 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

Henry S. Walker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Henry Samuel Walker's CRS (Customer Relationship Summary).

Certified licenses

Experience

BTS SECURITIES CORPORATION

ICAPITAL MARKETS LLC

SIMON MARKETS LLC

Primary Firm SEC Registration

RIVERFRONT INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/4/2025

Series 63

Date: 9/9/2021

Series 7TO

Date: 8/6/2021

SIE

Date: 3/29/2021

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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