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Douglas Alan Sandler

Riverfront Investment Group, LLC

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About Douglas Alan Sandler

Douglas Alan Sandler is a financial advisor registered with Riverfront Investment Group, LLC. Douglas has been in the financial services industry since 1993. The advisor holds the Series 7, Series 63, Series 24, and Series 87 licenses. Douglas has been associated with Riverfront Investment Group, LLC since 2008. Prior to that, Douglas Sandler was employed by Wachovia Securities, LLC from 10/1/1999 to 4/10/2008 and First Union Capital Markets Corp. from 5/18/1993 to 10/1/1999.

Firm Information

Douglas Sandler is currently registered with Riverfront Investment Group, LLC. Riverfront Investment Group, LLC is an investment advisor based in RICHMOND, VA. They provide portfolio management services to individuals, investment companies, and other clients. They also offer model delivery platforms. The firm manages approximately $751 million in assets for 485 clients.
Riverfront Investment Group, LLC

1214 EAST CARY STREET

RICHMOND, VA 23219

$751.08M

Assets Under Management

10

Total Clients

31

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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provide investment models to uma and model delivery platforms

Provide investment models to uma and model delivery platforms

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Douglas Sandler’s Registration & Firm History

VA

03/31/2008 - Present

Riverfront Investment Group, LLC (RICHMOND VA)

VA

10/01/1999 - 04/10/2008

WACHOVIA SECURITIES, LLC (RICHMOND VA)

NC

05/18/1993 - 10/01/1999

FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)

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Licenses & Designations

IA

Issued 10/02/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/24/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/11/2003

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/10/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 11/18/1997

Series 16 - NYSE Supervisory Analyst Examination

BC

Issued 05/17/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Douglas Alan Sandler.
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