AA
Alexander S. Albert
RICHMOND INVESTMENT SERVICES LLC
MEQUON, WI 53097-3217
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CRD#: 7942017
AA
Professional summary
Alexander Sidney Albert, who also goes by Alex Albert, Alexander S Albert, Alexander Albert, is a registered financial advisor currently at RICHMOND INVESTMENT SERVICES LLC located in Mequon, Wisconsin and LPL FINANCIAL LLC located in Mequon, Wisconsin.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Alexander has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alex Albert | Alexander S Albert | Alexander Albert
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)10/11/2024 - Richmond Investment Services LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 06/2024 - 120 Hr/Mth - Registered Representative - Offers commission based investment products as a registered representative of LPL. 2)12/10/2024 - Richmond Investment Services - Investment Related - Registered Investment Advisor Hybrid - At Reported Business Location(s) - Start Date: 10/02/2024 - 120 Hrs/Mth - 40 Hrs during Trading - I provide administrative support to Richmond Investment Services, an independent investment advisor firm. I started this business activity in 10/2024. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firms 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 Alexander Sidney Albert'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
September 15, 2025 - Present
RICHMOND INVESTMENT SERVICES LLC
Office #1: 7702 W Mequon Rd, Mequon, WI 53097-3217RIA
CRD#: 327451
MEQUON, WI
Current
December 9, 2024 - Present
LPL FINANCIAL LLC
Office #1: 7702 W Mequon Rd, Mequon, WI 53097RIA
BD
CRD#: 6413
MEQUON, WI
Past
March 7, 2025 - March 11, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
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
Wisconsin(3/7/2025)
IAR
Wisconsin(9/15/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/9/2024
General Securities Representative ExaminationGeneral 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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