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7702 W Mequon Rd, Mequon, WI 53097-3217 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2024-05-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-06-22 |
| S63 | Uniform Securities Agent State Law Examination | 2017-07-13 |
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