Matthew R. Richmond
RICHMOND INVESTMENT SERVICES LLC | Principal Officer / LPL Financial Advisor
MEQUON, WI 53097-3217
Some features on this profile are disabled
CRD#: 2729015
Professional summary
Matthew Riley Richmond, who also goes by Matt Richmond, is a registered financial advisor currently at RICHMOND INVESTMENT SERVICES LLC located in Mequon, Wisconsin and LPL FINANCIAL LLC located in Mequon, Wisconsin.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Matthew has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
What are your service offerings?
Philanthropic services
Trust & estate planning
Executive services/Equity comp...
Trading individual securities
Financial planning
Insurance
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
Matt Richmond
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) 06/25/2007: Northern States Brokerage, LLC - Non-Variable Insurance - Investment Related - 4120 N. Calhoun Rd #200, Brookfield, WI 53005 - 3% Time Spent - licensed agent (2) 01/11/2012: Richmond Investment Services, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - 100% Time Spent (3) 06/06/2014: No Business Name - Notary Public - Not Investment Related - 7105 W Mequon Rd, Mequon WI 53092 - Start 11/15/2013 - 1 Hr/Mo; 0 Hour(s) During Securities Trading (4) 10/06/2016: Black Walnut Properties LLC - Business Entity For Tax/Investment Purposes Only - Investment Related - 7702 W Mequon Rd Mequon WI 53097 - Start 12/01/2016 - 1 Hr/Mo; 5 Hour(s) During Securities Trading - Black Walnut Properties LLC to hold the building (John Richmond and I are building) Richmond Investment Services is 70% of the tenant. (5) 06/13/2024 - Richmond Investment Services - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 03/25/2024 - 150 Hours Per Month/ 7 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 150 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.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Riley Richmond'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
June 12, 2024 - Present
RICHMOND INVESTMENT SERVICES LLC
Office #1: 7702 W Mequon Rd, Mequon, WI 53097-3217RIA
CRD#: 327451
MEQUON, WI
Current
February 9, 2007 - Present
LPL FINANCIAL LLC
Office #1: 7702 W Mequon Rd, Mequon, WI 53097RIA
BD
CRD#: 6413
MEQUON, WI
Past
February 9, 2007 - June 24, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
MEQUON, WI
Past
July 6, 2005 - February 16, 2007
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
GERMANTOWN, WI
Past
July 6, 2005 - February 16, 2007
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
GERMANTOWN, WI
Past
May 11, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
OCONOMOWOC, WI
Past
October 14, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
July 25, 2002 - August 6, 2004
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
July 1, 2002 - July 29, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
Past
April 10, 1996 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
MINNEAPOLIS, MN
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(12/21/2009)
RR
Arkansas(1/24/2017)
RR
California(6/4/2014)
RR
Colorado(8/3/2017)
RR
Florida(10/6/2008)
RR
Georgia(8/22/2017)
RR
Hawaii(10/18/2018)
RR
Idaho(8/3/2017)
RR
Illinois(2/9/2007)
RR
Indiana(5/19/2008)
RR
Iowa(8/14/2014)
RR
Kansas(5/9/2023)
RR
Louisiana(8/13/2020)
RR
Maryland(6/27/2014)
RR
Massachusetts(6/18/2018)
RR
Michigan(12/21/2009)
RR
Minnesota(8/14/2014)
RR
Missouri(6/4/2014)
RR
Montana(4/1/2014)
RR
Nevada(11/23/2009)
RR
New Hampshire(4/17/2023)
RR
New York(6/4/2014)
RR
North Carolina(9/4/2013)
RR
North Dakota(8/22/2025)
RR
Ohio(11/28/2012)
RR
Oklahoma(7/29/2015)
RR
Oregon(9/25/2020)
RR
South Carolina(6/4/2014)
RR
South Dakota(5/26/2017)
RR
Tennessee(7/15/2022)
RR
Texas(8/3/2017)
RR
Utah(6/11/2019)
RR
Virginia(2/8/2016)
RR
Washington(9/24/2015)
RR
Wisconsin(2/9/2007)
IAR
Wisconsin(6/12/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Principal Officer / LPL Financial AdvisorCRD#: 327451Mequon, WI 53097-3217TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
