Mark B. Konrardy

RICHMOND INVESTMENT SERVICES LLC

Dubuque, IA 52001

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CRD#: 4324887

Professional summary

Mark Benjamin Konrardy is a registered financial advisor currently at RICHMOND INVESTMENT SERVICES LLC located in Dubuque, Iowa and LPL FINANCIAL LLC located in Dubuque, Iowa.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Mark has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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- 08/25/2025 / Richmond Investment Services / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 40 hrs during trading / At reported business location(s) Start date: 08/25/2025 2- 08/25/2025 / Goldfinch Wealth Management / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s) Start date: 08/25/2025 3. 10/06/2025 - Goldfinch Wealth Management - Registered Investment Advisor DBA - At reported business location(s) - Inv rel - Start date: 08/25/2025 - 160 hrs/mnth 40 hrs during Trading 4. 10/06/2025 - Richmond Investment Services LLC - Registered Investment Advisor Hybrid - At reported business location(s) - Inv rel - Start date: 08/25/2025 - 160 hrs/mnth 40 hrs during Trading . I provide investment advisory services through Richmond Investment Services, LLC, an independent investment advisor firm. I started this business activity in 8/2025. I expect to spend approximately 160 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Benjamin Konrardy'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

September 30, 2025 - Present

RICHMOND INVESTMENT SERVICES LLC

Office #1: 470 W. 4th St, Dubuque, IA 52001

RIA

CRD#: 327451

Dubuque, IA

Current

August 25, 2025 - Present

LPL FINANCIAL LLC

Office #1: 470 W. 4th Street, Dubuque, IA 52001

RIA

CRD#: 6413

Dubuque, IA

Past

May 18, 2022 - July 31, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

DUBUQUE, IA

Past

May 18, 2022 - July 31, 2025

LPL FINANCIAL LLC

CRD#: 6413

DUBUQUE, IA

Past

December 2, 2021 - May 18, 2022

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

DUBUQUE, IA

Past

December 2, 2021 - May 18, 2022

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

DUBUQUE, IA

Past

March 8, 2021 - November 22, 2021

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Dubuque, IA

Past

March 5, 2021 - November 22, 2021

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

May 31, 2019 - April 20, 2020

PRUDENTIAL SELECT STRATEGIES LLC

RIA

CRD#: 286153

Dubuque, IA

Past

April 9, 2008 - December 31, 2018

GLOBAL PORTFOLIO STRATEGIES, INC.

RIA

CRD#: 105812

DUBUQUE, IA

Past

April 9, 2008 - April 20, 2020

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

DUBUQUE, IA

Past

March 28, 2006 - March 18, 2008

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

GALENA, IL

Past

March 7, 2005 - March 18, 2008

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

GALENA, IL

Past

November 19, 2003 - February 22, 2005

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

February 28, 2003 - November 19, 2003

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

RIA

CRD#: 40596

DUBUQUE, IA

Past

March 19, 2001 - November 19, 2003

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

CRD#: 40596

HARTFORD, CT

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".

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.

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

Arizona
(9/22/2025)

Florida
(8/25/2025)

Illinois
(8/27/2025)

Iowa
(8/25/2025)

IAR

Iowa
(9/30/2025)

Missouri
(8/25/2025)

North Dakota
(8/25/2025)

Utah
(8/25/2025)

Wisconsin
(8/25/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/27/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/20/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/24/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/16/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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

SEC notice filing (30 States and Territories)

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 Accounts	1,306
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.

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Advisor Monitoring

Firm Stability Insights

Mark B. Konrardy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Benjamin Konrardy's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

PRUDENTIAL SELECT STRATEGIES LLC

GLOBAL PORTFOLIO STRATEGIES, INC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

EDWARD JONES

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

RICHMOND INVESTMENT SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/27/2006

Series 63

Date: 4/20/2001

SIE

Date: 10/1/2018

Series 7

Date: 6/24/2002

Series 6

Date: 3/16/2001

FINRA

Current Firm

RICHMOND INVESTMENT SERVICES LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RICHMOND INVESTMENT SERVICES LLC

TRUST BUT VERIFY

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