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WENDY LEE KERNS
WENDY LEE SMAILES, WENDY L STOUGH
CRD#: 2440119
IA
Investment Adviser
B
Broker
RIVERFRONT INVESTMENT GROUP, LLCCRD#: 146221 1214 E. CARY ST.
RICHMOND, VA 23219
ALPS DISTRIBUTORS, INC.CRD#: 16853 1214 E. CARY STREET
RICHMOND, VA 23219
Registration History
199820002002200420062008201020122014201620182020202220242026BALPS DISTRIBUTORS, INC. (CRD# 16853)2010 - Present (14 years)IARIVERFRONT INVESTMENT GROUP, LLC (CRD# 146221)2008 - Present (16 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2001 - 2008 (7 years)BFIRST UNION SECURITIES, INC. (CRD# 19616)1999 - 2000 (1 year)BFIRST UNION CAPITAL MARKETS CORP. (CRD# 6124)1998 - 1999 (1 year)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2003 - 2008 (5 years)
License(s)

State Registrations

B
Alabama 8/28/2024

B
Minnesota 8/28/2024

B
Arizona 8/28/2024

B
Mississippi 8/28/2024

B
Arkansas 8/28/2024

B
Missouri 8/28/2024

B
California 8/28/2024

B
New Jersey 8/28/2024

B
Colorado 8/28/2024

B
New York 8/28/2024

B
Connecticut 8/28/2024

B
North Carolina 8/28/2024

B
Delaware 8/28/2024

B
North Dakota 8/28/2024

B
District of Columbia 8/28/2024

B
Ohio 8/28/2024

B
Florida 8/28/2024

B
Oklahoma 8/28/2024

B
Georgia 8/28/2024

B
Oregon 8/28/2024

B
Illinois 8/28/2024

B
Pennsylvania 8/28/2024

B
Indiana 8/28/2024

B
Rhode Island 8/28/2024

B
Iowa 8/28/2024

B
South Dakota 8/28/2024

B
Kansas 8/28/2024

B
Tennessee 8/28/2024

B
Kentucky 8/28/2024

B
Texas 8/28/2024

B
Maryland 8/28/2024

IA
Virginia 6/10/2008

B
Massachusetts 8/28/2024

B
Virginia 5/17/2010

B
Michigan 8/28/2024

B
Wisconsin 8/28/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
ALPS DISTRIBUTORS, INC. (CRD#:16853)
1214 E. CARY STREET, RICHMOND, VA 23219
CHESTERFIELD, VA
Registered with this firm since 5/17/2010

IA
RIVERFRONT INVESTMENT GROUP, LLC (CRD#:146221)
1214 E. CARY ST., RICHMOND, VA 23219
Registered with this firm since 6/10/2008

Previous Registration(s)
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03/13/2003 - 06/10/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) RICHMOND, VA
B
02/21/2001 - 06/10/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) RICHMOND, VA
B
10/01/1999 - 12/20/2000 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
05/14/1998 - 10/01/1999 FIRST UNION CAPITAL MARKETS CORP. (CRD#:6124) CHARLOTTE, NC
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.