Unclaimed Profile

Wendy Lee Smailes

RIVERFRONT INVESTMENT GROUP, LLC·RICHMOND, Virginia

SIE, Series 7, Series 24, Series 63, Series 65, Series 87Clean record23 years registeredRIVERFRONT INVESTMENT GROUP, LLC

1214 EAST CARY STREET, RICHMOND, VA 23219CRD# 2440119Firm CRD# 146221

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Wendy Lee Smailes · RICHMOND, VA

Registration

CRD #2440119 · RIVERFRONT INVESTMENT GROUP, LLC · 23 years registered

Brand Profile

Not yet started

Career History

RIVERFRONT INVESTMENT GROUP, LLC

Jun 2008 – present

WACHOVIA SECURITIES, LLC

Mar 2003 – Jun 2008

RICHMOND, VA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 65

Series 87

Registration record

First registered · March 13, 2003

Years registered · 23

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

RIVERFRONT INVESTMENT GROUP, LLC

CRD 146221 · SEC 801-68810

AUM

$751M

Regulatory assets under management

Employees

485 client accounts

Services offered by RIVERFRONT INVESTMENT GROUP, LLC

Per Form ADV

Portfolio management (individuals)

Portfolio management (pooled investments)

Other

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

View all advisors at RIVERFRONT INVESTMENT GROUP, LLC →

Introduction

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Frequently Asked Questions

What services does Wendy Lee Smailes offer?

Wendy Lee Smailes specializes in Investment Management, Fee-Only Advisory. Contact their office in RICHMOND, Virginia for a consultation.

What are Wendy Lee Smailes's credentials?

Wendy Lee Smailes is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Wendy Lee Smailes located?

Wendy Lee Smailes is based in RICHMOND, Virginia, working with RIVERFRONT INVESTMENT GROUP, LLC. Their office serves clients in the RICHMOND metropolitan area and surrounding communities.

How does Wendy Lee Smailes charge for services?

Wendy Lee Smailes's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is RIVERFRONT INVESTMENT GROUP, LLC?

RIVERFRONT INVESTMENT GROUP, LLC has approximately 50 employees and manages $751M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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