Courtney M Krogstad

Employer firm

Richmond Investment Services LLC CRD 327451

$453M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2016 → 04/2017
  Jerry David
  Milwaukee, WI
• 03/2016 → 04/2017
  Northwestern Mutual Investment Services Llc
  Milwaukee, WI
• 05/2016 → 04/2017
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI
• 04/2017 → 01/2021
  Robert W. Baird & Co., Inc.
  Mequon, WI
• 01/2021 → Present
  Lpl Financial, Llc
  Mequon, WI
• 03/2024 → Present
  Richmond Investment Services
  Mequon, WI

Previous Registrations

• 2017-04-25 → 2021-01-19
  Robert W. Baird & Co. Incorporated
  Mequon, WI
• 2016-04-11 → 2017-04-24
  Northwestern Mutual Investment Services, Llc
  Milwaukee, WI
• 2014-02-12 → 2016-02-29
  Robert W. Baird & Co. Incorporated
  Milwaukee, WI
• 2013-11-13 → 2014-02-12
  Next Financial Group, Inc.
  Delafield, WI

Other Businesses

1. 02/05/2021 - Notary - Not Investment Related - At Reported Business Location(s) - Start Date 2020 - 2 Hours Per Month 2. 05/21/2024 - Richmond Investment Services, LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started: 4/19/2024 - 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. 3. 05/21/2024 - Richmond Investment Services, LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started: 4/19/2024 - 120 Hrs/Mo; 6 Hrs During Trading. 4. 07/23/2024 - Krogstad Investment Services, LLC - Non-Inv Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started: 4/19/2024 - 120 Hrs/Mo; 6 Hrs During Trading. 5. 10/31/2024 - Highland Capital - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 09/10/2024 - 2 Hours Per Month/ During Trading

Exams

• S66 Uniform Combined State Law Examination
  2013-11-11
• S63 Uniform Securities Agent State Law Examination
  2012-03-20

Designations

• Certified Financial Planner

Other Names

• Courtney Umhoefer
• Courtney M Umhoefer