BL
Brittany L. Loeffelholz
RICHMOND INVESTMENT SERVICES LLC
Dubuque, IA 52001
Some features on this profile are disabled
CRD#: 5617784
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Professional summary
Brittany L Loeffelholz, CFP®, who also goes by Brittany L Smith, is a registered financial advisor currently at RICHMOND INVESTMENT SERVICES LLC located in Dubuque, Iowa and LPL FINANCIAL LLC located in Dubuque, Iowa.
Brittany is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Brittany has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brittany L Smith
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 - 07/17/2025 - Goldfinch Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Related - At reported business location(s) - Start Date: 07/14/2025 - 160 Hrs/Mth - 40 Hrs During Trading. 2 - 07/17/2025 - Richmond Investment Services - DBA for LPL Business (entity for LPL business) - Inv Related - At reported business location(s) - Start Date: 07/14/2025 - 160 Hours/Month - 40 Hours During Trading. 3) 09/05/2025 - Richmond Investment Services LLC - Investment Related - Registered Investment Advisor Hybrid- At Reported Business Location(s) - Start Date:07/14/2025 - 160 Hrs/Mth - 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 7/2025. 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. 4) 09/05/2025 - Goldfinch Wealth Management - Investment Related - Registered Investment Advisor DBA - At Reported Business Location(s) - Start Date:07/14/2025 - 160 Hrs/Mth - 40 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Brittany L Loeffelholz'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: 2019
Experience
Current
August 29, 2025 - Present
RICHMOND INVESTMENT SERVICES LLC
Office #1: 470 W 4th Street, Dubuque, IA 52001RIA
CRD#: 327451
Dubuque, IA
Current
July 17, 2025 - Present
LPL FINANCIAL LLC
Office #1: 470 W. 4th Street, Dubuque, IA 52001Office #2: 8411 Peosta Commercial Ct Ste 7, Peosta, IA 52068RIA
BD
CRD#: 6413
Dubuque, IA
Past
May 7, 2018 - March 19, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
DUBUQUE, IA
Past
May 7, 2018 - March 19, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
DUBUQUE, IA
Past
April 22, 2010 - March 21, 2017
GLOBAL PORTFOLIO STRATEGIES, INC.
RIA
CRD#: 105812
DUBUQUE, IA
Past
December 19, 2008 - March 21, 2017
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
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(10/29/2025)
RR
California(10/29/2025)
RR
Colorado(10/29/2025)
RR
Florida(10/29/2025)
RR
Georgia(10/29/2025)
RR
Idaho(10/29/2025)
RR
Illinois(7/22/2025)
RR
Indiana(10/29/2025)
RR
Iowa(7/17/2025)
IAR
Iowa(8/29/2025)
RR
Louisiana(10/29/2025)
RR
Massachusetts(10/29/2025)
RR
Michigan(10/29/2025)
RR
Minnesota(10/29/2025)
RR
North Carolina(10/31/2025)
RR
North Dakota(10/29/2025)
RR
Ohio(10/29/2025)
RR
Texas(10/29/2025)
RR
Utah(10/29/2025)
RR
Wisconsin(7/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RICHMOND INVESTMENT SERVICES LLC
CRD#: 327451Dubuque, IA 52001TRUST BUT VERIFY
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