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7702 W Mequon Rd, Mequon, WI 53097-3217 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2024-07-16 |
| TX | RA | APPROVED_RES | 2024-07-09 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | Thiensville | WI | 12/2005 | 08/2017 |
| Lpl Financial Llc | Mequon | WI | 08/2017 | Present |
| Richmond Investment Services | Mequon | WI | 03/2024 | Present |
1) 11/26/2018 - U.S. Marketing Corporation - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/05/2018 - 5 Hours Per Month During Securities Trading - Life, LTC. 2) 07/11/2024 - 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. 3) 07/11/2024 - 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.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2005-12-01 |
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