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7702 W Mequon Rd, Mequon, WI 53097-3217 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2026-04-02 |
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 |
|---|---|---|---|---|
| Keystone Area Education Agency | Dubuque | IA | 05/2009 | 02/2024 |
| Richmond Investment Services (Dba Goldfinch Wealth Management) | Dubuque | IA | 02/2024 | Present |
| Lpl Financial Llc | Dubuque | IA | 02/2024 | Present |
| Richmond Investment Services Llc | Dubuque | IA | 12/2025 | Present |
1 - 06/2025 - Richmond Investment Services - DBA for LPL Business (entity for LPL business) - Inv Related - At reported business location(s). 2 - 01/09/2026 - Richmond Investment Services - Registered Investment Advisor Hybrid - Admin - Investment Related - At Reported Business Location(s) - Start Date 11/24/2025 - 144 hours per month/ 8 hours during trading - I provide administrative support to Richmond Investment Services, an independent investment advisor firm. I started this business activity in 11/2025. I expect to spend approximately 144 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 - 01/09/2026 - Goldfinch Wealth Management - Registered Investment Advisor DBA - Admin - Investment Related - At Reported Business Location(s) - Start Date 11/24/2025 - 140 hours per month/ 110 hours during trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-12-19 |
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