Sumanpreet K. Dhillon

RIVERFRONT INVESTMENT GROUP

Richmond, VA 23219

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CRD#: 7812943

Professional summary

Sumanpreet Kaur Dhillon, who also goes by Sam Dhillon, is a registered financial advisor currently at RIVERFRONT INVESTMENT GROUP, LLC located in Richmond, Virginia and ALPS DISTRIBUTORS, INC. located in Richmond, Virginia.

Sumanpreet is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Sumanpreet has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sam Dhillon

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 E Cary St Richmond, VA 23219; RIA; Regional Sales Consultant; 07/17/2023; 160 HRS/MON; 130 HRS/MON During Trading Hours. 2. ALPS Distributors, Inc.; Investment-Related; 1290 Broadway Suite 1000 Denver, CO 80203; Broker-Dealer; Registered Representative Marketing/Sales for the RiverFront Funds, Distributed by ALPS; 07/17/2023; 10 HRS/MON; 10 HRS/MON During Trading Hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sumanpreet Kaur Dhillon'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

February 2, 2024 - Present

RIVERFRONT INVESTMENT GROUP, LLC

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

RIA

CRD#: 146221

Richmond, VA

Current

December 20, 2023 - 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

Virginia
(2/1/2024)

IAR

Virginia
(2/2/2024)

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: 1/31/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/20/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/2/2022

Securities Industry Essentials 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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Sumanpreet K. Dhillon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sumanpreet Kaur Dhillon'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: 1/31/2024

Series 7TO

Date: 12/20/2023

SIE

Date: 7/2/2022

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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