Christopher A. Becker
RICHMOND INVESTMENT SERVICES LLC
MEQUON, WI 53097-3217
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CRD#: 6769200
Professional summary
Christopher Allen Becker, CFP®, who also goes by Christopher A Becker, is a registered financial advisor currently at RICHMOND INVESTMENT SERVICES LLC located in Mequon, Wisconsin and LPL FINANCIAL LLC located in Mequon, Wisconsin.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Christopher has worked at 4 firms and has passed the Series 65, Series 63, Series 7, SIE, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher A Becker
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) 09/06/2022 - Richmond Investment Services, LLC- DBA for LPL Business (entity for LPL business)- inv. related- Mequon, WI 2) 9/2022- Christopher Becker - Other-Notary - inv. related- Hartford, WI- Started 02/27/2020 - 1 hr/mth 3) 9/2022- Retire With Style, LLC- Business Entity For Tax/Investment Purposes Only- non-inv. related- Hartford, WI- start date 8/2022- 8/hrs/mth 4) 05/21/2024 - Richmond Investment Services, LLC - Registered Investment Advisor DBA - IAR - Investment Related - At Reported Business Location(s) - Start Date 03/25/2024 - 120 Hours Per Month/ 6 Hours During Trading 5) 05/21/2024 - Richmond Investment Services, LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 03/25/2024 - 120 Hours Per Month/ 6 Hours 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 Christopher Allen Becker'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: 2021
Experience
Current
May 8, 2024 - Present
RICHMOND INVESTMENT SERVICES LLC
Office #1: 7702 W Mequon Rd, Mequon, WI 53097-3217RIA
CRD#: 327451
MEQUON, WI
Current
September 6, 2022 - Present
LPL FINANCIAL LLC
Office #1: 7702 W Mequon Rd, Mequon, WI 53097RIA
BD
CRD#: 6413
MEQUON, WI
Past
September 6, 2022 - June 24, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
May 14, 2018 - July 11, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
ALTOONA, WI
Past
December 18, 2017 - April 27, 2018
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
MENOMONIE, WI
Past
May 31, 2017 - October 17, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
EAU CLAIRE, 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
Arkansas(12/13/2024)
RR
California(10/28/2024)
RR
Florida(10/28/2024)
RR
Georgia(12/13/2024)
RR
Illinois(8/27/2024)
RR
Indiana(1/2/2025)
RR
Iowa(5/24/2024)
RR
Maryland(10/28/2024)
RR
Minnesota(10/28/2024)
RR
New York(12/13/2024)
RR
Ohio(5/31/2024)
RR
Wisconsin(9/6/2022)
IAR
Wisconsin(5/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Registered Investment Advisory firm - (3/7/2024 Approved)Upgrade to AdvisorCheck 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)
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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