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Christopher Allen Becker

Richmond Investment Services LLC

Mequon, WI

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Current Employers
Richmond Investment Services Llc

7702 W Mequon Rd, Mequon, WI 53097-3217 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2024-05-08
  • WI RA
    APPROVED
    Since 2024-05-08

Branch Locations

7702 W Mequon Rd, Mequon, WI 53097-3217 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Life Insurance Company Milwaukee WI 05/2017 10/2017
Northwestern Mutual Investment Services Llc Eau Claire WI 05/2017 10/2017
Wisconsin Army National Guard Abbotsford WI 12/2007 04/2017
Royal Credit Union Eau Claire WI 01/2016 04/2017
Northwestern Mutual Wealth Management Company Milwaukee WI 09/2017 10/2017
Waznik Moseler Group Menomonie WI 12/2017 05/2018
Woita And Associates Altoona WI 05/2018 01/2022
Lpl Financial, Llc Mequon WI 04/2018 07/2022
Great Valley Advisor Group, Inc (Dba: North Point Advisor Group) Altoona WI 01/2022 08/2022
Lpl Financial Llc Mequon WI 09/2022 Present
Richmond Investment Services Mequon WI 03/2024 Present
Richmond Investment Services Llc Mequon WI 08/2022 Present
Richmond Investment Services Llc Mequon WI 07/2023 12/2024
  • 05/2017 → 10/2017
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 05/2017 → 10/2017
    Northwestern Mutual Investment Services Llc
    Eau Claire, WI
  • 12/2007 → 04/2017
    Wisconsin Army National Guard
    Abbotsford, WI
  • 01/2016 → 04/2017
    Royal Credit Union
    Eau Claire, WI
  • 09/2017 → 10/2017
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 12/2017 → 05/2018
    Waznik Moseler Group
    Menomonie, WI
  • 05/2018 → 01/2022
    Woita And Associates
    Altoona, WI
  • 04/2018 → 07/2022
    Lpl Financial, Llc
    Mequon, WI
  • 01/2022 → 08/2022
    Great Valley Advisor Group, Inc (Dba: North Point Advisor Group)
    Altoona, WI
  • 09/2022 → Present
    Lpl Financial Llc
    Mequon, WI
  • 03/2024 → Present
    Richmond Investment Services
    Mequon, WI
  • 08/2022 → Present
    Mequon, WI
  • 07/2023 → 12/2024
    Mequon, WI
Other Businesses

1) 09/06/2022 - Richmond Investment Services, LLC- DBA for LPL Business (entity for LPL business)- inv. related- Mequon, WI 2) 9/2022- Christopher Becker - Other-Notary - inv. related- Hartford, WI- Started 02/27/2020 - 1 hr/mth 3) 9/2022- Retire With Style, LLC- Business Entity For Tax/Investment Purposes Only- non-inv. related- Hartford, WI- start date 8/2022- 8/hrs/mth 4) 05/21/2024 - Richmond Investment Services, LLC - Registered Investment Advisor DBA - IAR - Investment Related - At Reported Business Location(s) - Start Date 03/25/2024 - 120 Hours Per Month/ 6 Hours During Trading 5) 05/21/2024 - Richmond Investment Services, LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 03/25/2024 - 120 Hours Per Month/ 6 Hours 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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-06-22
S63 Uniform Securities Agent State Law Examination 2017-07-13
  • S65 Uniform Investment Adviser Law Examination
    2019-06-22
  • S63 Uniform Securities Agent State Law Examination
    2017-07-13
Designations
Other Names
  • Christopher A Becker

View on SEC IAPD

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