Charlotte Claire Legrand Allen
Investment Adviser Representative at Riverfront Investment Group, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Charlotte Claire Legrand Allen is an investment adviser representative with Riverfront Investment Group, LLC in Roswell, GA, where they have been registered since 2021, the year they entered the securities industry. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Georgia and Virginia.
Registrations & licenses
- Investment adviser:
- Georgia, Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- ALPS Distributors, Inc.Jul 2021 – May 2026Denver, CO
- Riverfront Investment Group, LLCMay 2021 – Dec 2021Richmond, VA
- Exane DerivativesSep 2018 – Sep 2019Paris
- Exane BNP ParibasDec 2017 – May 2018Paris
- Oddo BHFSep 2016 – Sep 2017Paris
- UnemployedOct 2019 – May 2021amelia court house, VA
- UnemployedJun 2018 – Aug 2018Paris
- RiverFront Investment Group, LLCJan 2022 – Apr 2023Richmond, VA
- Riverfront Investment Group, LLC.Apr 2023 – no end date reportedRichmond, VA
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Riverfront Investment Group, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 30
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Richmond, VA
- SEC file number:
- 801-68810
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 30, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Charlotte Claire Legrand Allen has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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