JB
Joshua E. Boris
RICHMOND INVESTMENT SERVICES LLC
MEQUON, WI 53097-3217
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CRD#: 6806044
JB
Professional summary
Joshua Edward Boris, who also goes by Josh Boris, Joshua E Boris, Joshua Boris, is a registered financial advisor currently at RICHMOND INVESTMENT SERVICES LLC located in Mequon, Wisconsin and LPL FINANCIAL LLC located in Mequon, Wisconsin.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Joshua has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Josh Boris | Joshua E Boris | Joshua Boris
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) 10/2023 - Richmond Investment Services LLC - DBA for LPL Business (entity for LPL Business); Inv. related - At reported Business Location(s) - 160hrs/month; 100% time spent. 2) 10/2023 - Joshua Boris Real Estate Rental - Real Estate Rental - Inv. Related - ST LOUIS PARK, MN 55416 - Owner - Start Date 10/21/2019 - 0hrs/month - 0% time spent. 3) 06/2024 - Richmond Investment Services, LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - 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 4/2024. 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. 4) 06/2024 - Richmond Investment Services, LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started: 4/1/2024 - 120 Hrs/Mo; 6 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Edward Boris'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®
NoneExperience
Current
June 12, 2024 - Present
RICHMOND INVESTMENT SERVICES LLC
Office #1: 7702 W Mequon Rd, Mequon, WI 53097-3217RIA
CRD#: 327451
MEQUON, WI
Current
November 1, 2023 - Present
LPL FINANCIAL LLC
Office #1: 7702 W Mequon Rd, Mequon, WI 53097RIA
BD
CRD#: 6413
MEQUON, WI
Past
November 1, 2023 - June 24, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
July 11, 2018 - October 30, 2023
ALLIANZ LIFE FINANCIAL SERVICES, LLC
BD
CRD#: 612
MINNEAPOLIS, MN
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
Florida(1/3/2024)
RR
Illinois(2/1/2025)
RR
Michigan(1/3/2024)
RR
Minnesota(1/9/2024)
RR
New York(7/30/2024)
RR
Virginia(7/16/2025)
RR
Wisconsin(11/1/2023)
IAR
Wisconsin(6/12/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/7/2023
General Securities Representative ExaminationGeneral 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
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RICHMOND INVESTMENT SERVICES LLC
CRD#: 327451Mequon, WI 53097-3217TRUST BUT VERIFY
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