KD
Kelley A. Donovan
RICHMOND INVESTMENT SERVICES LLC
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.
1. 12/21/2017 - Richmond Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/14/2017 - 180 Hours Per Month/160 Hours During Securities Trading. 2. 4/23/2020 - No Business Name - Investment Related - Dubuque IA - Real Estate Rental - Partner - 2 Hours Per Month/0 Hours During Securities Trading - Bought a building in Dubuque, and remodeling it into two rentals. 3. 11/04/2021 - No Business Name - Investment Related - 374 Bluff Street, Dubuque, IA 52001- Real Estate Rental - Start Date: 11/01/2021 - 2 Hours Per Month/0 Hours During Securities Trading. 4. 10/25/2022 - AAKRBD2 LLC - Investment Related - Dubuque IA 52001 - Real Estate Rental - Start Date: 11/01/2022 - 1 Hour Per Month/0 Hours During Securities Trading - I bought a two-unit bldg. 5. 09/26/2024 - Goldfinch Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 09/02/2024 - 200 Hours Per Month/ 160 Hours During Trading 6) 04/21/2025 - Richmond Investment Services LLC - Investment Related - Registered Investment Advisor - At Reported Business Location(s) - Start Date:06/13/2024 - 200 Hrs/Mth - 160 Hrs During Trading.I provide investment advisory services through Richmond Investment Services LLC, an independent investment advisor firm. I started this business activity in 6/2024. I expect to spend approximately 200 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. 7) 04/21/2025 - Goldfinch Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date:06/13/2024 -200 Hrs/Mth - 160 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Kelley Ann Donovan's 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®
NoneExperience
Current
May 30, 2024 - Present
RICHMOND INVESTMENT SERVICES LLC
Office #1: 470 W 4th Street, Dubuque, IA 52001RIA
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 52068RIA
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
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RI
RICHMOND INVESTMENT SERVICES LLC
GOLDFINCH WEALTH MANAGEMENT | RICHMOND INVESTMENT SERVICES LLC
CRD#: 327451 / SEC#: 801-129477
RIA
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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)
Regulatory assets under management
| Total Number of Accounts | 1,306 |
| AUM (Assets Under Management) | $ 393,484,617 |
Red Flags
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Company Information
RICHMOND INVESTMENT SERVICES LLC
CRD#: 327451Dubuque, IA 52001TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
