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GS

Gregg A. Shaffer

RICHMOND INVESTMENT SERVICES
MEQUON, WI 53097-3217
Some features on this profile are disabled
CRD#: 4269835
GS

Professional summary

Gregg Alan Shaffer is a registered financial advisor currently at RICHMOND INVESTMENT SERVICES LLC located in Mequon, Wisconsin and LPL FINANCIAL LLC located in Mequon, Wisconsin.

Gregg is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Gregg 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 Gregg Alan Shaffer'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 21, 2024 - Present

RICHMOND INVESTMENT SERVICES LLC

Office #1: 7702 W Mequon Rd, Mequon, WI 53097-3217
RIA
CRD#: 327451
MEQUON, WI
Current

September 25, 2020 - Present

LPL FINANCIAL LLC

Office #1: 7702 W Mequon Rd, Mequon, WI 53097
RIA
BD
CRD#: 6413
MEQUON, WI
Past

September 25, 2020 - June 24, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC
Past

June 1, 2009 - October 2, 2020

MORGAN STANLEY

RIA
CRD#: 149777
MILWAUKEE, WI
Past

June 1, 2009 - October 2, 2020

MORGAN STANLEY

BD
CRD#: 149777
MILWAUKEE, WI
Past

November 14, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
MILWAUKEE, WI
Past

November 14, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
MILWAUKEE, WI
Past

November 6, 2000 - November 21, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
MILWAUKEE, WI

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
Idaho
(9/25/2020)
RR
Illinois
(9/25/2020)
RR
Kansas
(5/9/2023)
RR
Minnesota
(5/10/2021)
RR
New York
(9/25/2020)
RR
North Carolina
(9/25/2020)
RR
Ohio
(9/25/2020)
RR
Texas
(5/2/2024)
RR
Virginia
(9/25/2020)
RR
Washington
(9/25/2020)
RR
West Virginia
(3/30/2026)
RR
Wisconsin
(9/25/2020)
IAR
Wisconsin
(5/21/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/17/2000
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: 11/3/2000
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
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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)

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#: 327451Mequon, WI 53097-3217

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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