William R. Gray
RICHMOND INVESTMENT SERVICES LLC
MEQUON, WI 53097-3217
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CRD#: 4746389
Professional summary
William Ryan Gray, CFP® is a registered financial advisor currently at RICHMOND INVESTMENT SERVICES LLC located in Mequon, Wisconsin and LPL FINANCIAL LLC located in Mequon, Wisconsin.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. William has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Insurance Planning
Estate Planning
Retirement Planning
Social Security Planning
Comprehensive Financial Planni...
Education Planning
Investment Planning
What is your minimum asset requirement?
250K
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. 06/20/2024 - Richmond Investment Services LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started: 3/25/2024 - 120 Hrs/Mo; 6 Hrs During Trading. 2. 06/20/2024 - Richmond Investment Services LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started: 3/25/2024 - 120 Hrs/Mo; 6 Hrs 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 120 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 William Ryan Gray'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®
CFP®
Start date: 2010
Experience
Current
June 18, 2024 - Present
RICHMOND INVESTMENT SERVICES LLC
Office #1: 7702 W Mequon Rd, Mequon, WI 53097-3217RIA
CRD#: 327451
MEQUON, WI
Current
August 31, 2012 - Present
LPL FINANCIAL LLC
Office #1: 7702 W Mequon Rd, Mequon, WI 53097RIA
BD
CRD#: 6413
MEQUON, WI
Past
August 31, 2012 - June 24, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
May 6, 2004 - September 12, 2012
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
MILWAUKEE, WI
Past
March 31, 2004 - September 12, 2012
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
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
California(3/17/2014)
RR
Colorado(9/26/2018)
RR
Florida(7/9/2018)
RR
Georgia(7/15/2019)
RR
Illinois(8/31/2012)
RR
Iowa(8/31/2012)
RR
Maryland(12/14/2021)
RR
Minnesota(8/31/2012)
RR
New York(8/31/2012)
RR
Ohio(8/31/2012)
RR
South Carolina(10/23/2014)
RR
Wisconsin(8/31/2012)
IAR
Wisconsin(6/18/2024)
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#: 327451Mequon, WI 53097-3217TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
