AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KD

Kelley A. Donovan

RICHMOND INVESTMENT SERVICES
Dubuque, IA 52001
Some features on this profile are disabled
CRD#: 2399378
KD

Professional summary

Kelley Ann Donovan is a registered financial advisor currently at RICHMOND INVESTMENT SERVICES LLC located in Dubuque, Iowa and LPL FINANCIAL LLC located in Dubuque, Iowa.

Kelley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Kelley has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelley Ann Donovan's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 30, 2024 - Present

RICHMOND INVESTMENT SERVICES LLC

Office #1: 470 W 4th Street, Dubuque, IA 52001
RIA
CRD#: 327451
Dubuque, IA
Current

August 18, 2016 - Present

LPL FINANCIAL LLC

Office #1: 470 W. 4th Street, Dubuque, IA 52001Office #2: 7702 W Mequon Rd, Mequon, WI 53097Office #3: 8411 Peosta Commercial Ct Ste 7, Peosta, IA 52068
RIA
BD
CRD#: 6413
Dubuque, IA
Past

December 13, 2017 - June 24, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
DUBUQUE, IA
Past

November 2, 2017 - December 14, 2017

GLOBAL RETIREMENT PARTNERS LLC

RIA
CRD#: 172011
Dubuque, IA
Past

August 18, 2016 - October 31, 2017

GLOBAL RETIREMENT PARTNERS LLC

RIA
CRD#: 172011
Madison, WI
Past

April 12, 2013 - August 18, 2016

VSR FINANCIAL SERVICES, INC.

RIA
CRD#: 14503
MADISON, WI
Past

April 12, 2013 - August 18, 2016

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
MADISON, WI
Past

January 12, 2010 - April 10, 2013

EDWARD JONES

RIA
CRD#: 250
DUBUQUE, IA
Past

December 18, 2009 - April 10, 2013

EDWARD JONES

BD
CRD#: 250
DUBUQUE, IA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RI
RICHMOND INVESTMENT SERVICES LLC
GOLDFINCH WEALTH MANAGEMENT | RICHMOND INVESTMENT SERVICES LLC

CRD#: 327451 / SEC#: 801-129477

RIA
Registered Investment Advisory firm - (3/7/2024 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(8/18/2016)
RR
California
(9/17/2020)
RR
Colorado
(8/31/2016)
RR
Florida
(8/18/2016)
RR
Georgia
(8/18/2016)
RR
Idaho
(10/23/2019)
RR
Illinois
(8/18/2016)
RR
Indiana
(3/29/2022)
RR
Iowa
(8/18/2016)
IAR
Iowa
(5/30/2024)
RR
Louisiana
(12/6/2023)
RR
Massachusetts
(8/18/2016)
RR
Michigan
(3/21/2017)
RR
Minnesota
(9/7/2022)
RR
North Carolina
(8/18/2016)
RR
North Dakota
(8/11/2025)
RR
Ohio
(8/18/2016)
RR
Tennessee
(8/18/2016)
RR
Texas
(8/18/2016)
IAR
Texas
(5/30/2024)
RR
Utah
(3/4/2019)
RR
Wisconsin
(8/18/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/29/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RI
RICHMOND INVESTMENT SERVICES LLC
GOLDFINCH WEALTH MANAGEMENT | RICHMOND INVESTMENT SERVICES LLC

CRD#: 327451 / SEC#: 801-129477

RIA
Registered Investment Advisory firm - (3/7/2024 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
7702 W Mequon Rd, Mequon, WI 53097-3217
Mailing Address
Phone number
(262) 242-4200
Established
Firm type
Fiscal year end
# of Employees
13

SEC notice filing (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM BROCHURE (10/15/2025)
ADV PART 2A (10/15/2025)

Regulatory assets under management

Total Number of Accounts1,306
AUM (Assets Under Management)$ 393,484,617

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

RICHMOND INVESTMENT SERVICES LLC

CRD#: 327451Dubuque, IA 52001

TRUST BUT VERIFY

Monitor Kelley Donovan

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

Similar Advisors

HS
Heather ScearceAdvisorCheck Check Mark
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IAR
RR
Burlington, MA
AH
Anthony HicksAdvisorCheck Check Mark
TRANSAMERICA FINANCIAL ADVISORS, LLC
IAR
RR
Carson, CA
MR
Matthew RubinAdvisorCheck Check Mark
LODESTAR SECURITIES CORP.
PR
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.