Best Investors
Account
Sign in
Best Investors
Account
Sign in
7702 W Mequon Rd, Mequon, WI 53097-3217 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2025-08-29 |
Branch Locations
470 W 4Th Street, Dubuque, IA 52001 • United States
7702 W Mequon Rd, Mequon, WI 53097-3217 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prudential Investment Management Services Llc | Dubuque | IA | 06/2008 | 03/2017 |
| Global Portfolio Strategies, Inc. | Dubuque | IA | 04/2010 | 03/2017 |
| The First Community Bank Of Galena Of Apple River State Bank | Galena | IL | 03/2017 | 04/2018 |
| Dubuque Bank & Trust | Dubuque | IA | 05/2018 | 07/2025 |
| Lpl Financial Llc | Dubuque | IA | 07/2025 | Present |
| Richmond Investment Services Llc | Dubuque | IA | 07/2025 | Present |
| Goldfinch Wealth Management | Dubuque | IA | 07/2025 | Present |
1 - 07/17/2025 - Goldfinch Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Related - At reported business location(s) - Start Date: 07/14/2025 - 160 Hrs/Mth - 40 Hrs During Trading. 2 - 07/17/2025 - Richmond Investment Services - DBA for LPL Business (entity for LPL business) - Inv Related - At reported business location(s) - Start Date: 07/14/2025 - 160 Hours/Month - 40 Hours During Trading. 3) 09/05/2025 - Richmond Investment Services LLC - Investment Related - Registered Investment Advisor Hybrid- At Reported Business Location(s) - Start Date:07/14/2025 - 160 Hrs/Mth - 40 Hrs During Trading.I provide investment advisory services through Richmond Investment Services LLC, an independent investment advisor firm. I started this business activity in 7/2025. I expect to spend approximately 160 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. 4) 09/05/2025 - Goldfinch Wealth Management - Investment Related - Registered Investment Advisor DBA - At Reported Business Location(s) - Start Date:07/14/2025 - 160 Hrs/Mth - 40 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-04-15 |
| S63 | Uniform Securities Agent State Law Examination | 2009-01-15 |
Reach out to this advisor