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CK

Courtney M. Krogstad

RICHMOND INVESTMENT SERVICES LLC
MEQUON, WI 53097-3217
Some features on this profile are disabled
CRD#: 6030675
CK

Professional summary

Courtney M Krogstad, CFP®, who also goes by Courtney M Umhoefer, Courtney Umhoefer, is a registered financial advisor currently at RICHMOND INVESTMENT SERVICES LLC located in Mequon, Wisconsin and LPL FINANCIAL LLC located in Mequon, Wisconsin.

Courtney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Courtney has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Courtney M Umhoefer | Courtney Umhoefer

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. 02/05/2021 - Notary - Not Investment Related - At Reported Business Location(s) - Start Date 2020 - 2 Hours Per Month 2. 05/21/2024 - Richmond Investment Services, LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started: 4/19/2024 - 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. 3. 05/21/2024 - Richmond Investment Services, LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started: 4/19/2024 - 120 Hrs/Mo; 6 Hrs During Trading. 4. 07/23/2024 - Krogstad Investment Services, LLC - Non-Inv Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started: 4/19/2024 - 120 Hrs/Mo; 6 Hrs During Trading. 5. 10/31/2024 - Highland Capital - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 09/10/2024 - 2 Hours Per Month/ During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Courtney M Krogstad'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®
CFP®

Certified Financial Planner

Start date: 2018

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

February 5, 2021 - Present

LPL FINANCIAL LLC

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

February 5, 2021 - June 24, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC
Past

April 25, 2017 - January 19, 2021

ROBERT W. BAIRD & CO. INCORPORATED

RIA
CRD#: 8158
MEQUON, WI
Past

April 25, 2017 - January 19, 2021

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MEQUON, WI
Past

April 11, 2016 - April 24, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
MILWAUKEE, WI
Past

April 11, 2016 - April 24, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

February 12, 2014 - February 29, 2016

ROBERT W. BAIRD & CO. INCORPORATED

RIA
CRD#: 8158
MILWAUKEE, WI
Past

February 12, 2014 - February 29, 2016

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

November 13, 2013 - February 12, 2014

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
DELAFIELD, WI
Past

February 7, 2013 - February 12, 2014

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
DELAFIELD, WI
Past

March 12, 2012 - February 5, 2013

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GLENDALE, 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
Colorado
(6/16/2021)
RR
Florida
(6/16/2021)
RR
Indiana
(6/16/2021)
RR
North Carolina
(8/18/2021)
RR
Wisconsin
(2/5/2021)
IAR
Wisconsin
(5/21/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/11/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/20/2012
Uniform Securities Agent 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: 5/13/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/9/2012
Investment Company Products/Variable Contracts 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)
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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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