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7702 W Mequon Rd, Mequon, WI 53097-3217 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2024-06-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Mequon | WI | 08/2012 | 06/2024 |
| Lpl Financial Llc | Mequon | WI | 03/2024 | Present |
| Richmond Investment Services | Mequon | WI | 03/2024 | Present |
1. 06/20/2024 - Richmond Investment Services LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started: 3/25/2024 - 120 Hrs/Mo; 6 Hrs During Trading. 2. 06/20/2024 - Richmond Investment Services LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started: 3/25/2024 - 120 Hrs/Mo; 6 Hrs During Trading - I provide investment advisory services through Richmond Investment Services, LLC, an independent investment advisor firm. I started this business activity in 3/2024. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-03-31 |
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