Brooke Gassman has been an investment adviser representative at Richmond Investment Services since April 2026, and is not listed among the firm’s executive officers or direct owners.
Richmond Investment Services LLC is a Mequon, WI firm with $453M under management, 890 clients and 11 advisers across 2 offices, as of its August 2026 filing.
- – present · under a yearDubuque, IA · Adviser representative · Firm CRD 327451
Investment adviser representative registrations
Brooke Gassman is registered as an investment adviser representative in Iowa, since April 2026.
- IowaSince 2 April 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 19 December 2025 |
| Series 7TO | General Securities Representative Examination | 12 September 2025 |
| SIE | Securities Industry Essentials Examination | 16 April 2025 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Brooke Nicole Gassman
- CRD
- 7871330
- Firm
- Richmond Investment Services · CRD 327451
- Office
- 470 W. 4th Street, Dubuque, IA 52001
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 2025
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Brooke Gassman work?
Brooke Gassman is an investment adviser representative registered through Richmond Investment Services LLC since April 2026, and is not listed among the firm’s executive officers or direct owners.
Is Brooke Gassman a financial advisor?
Yes. Brooke Gassman has a current investment-adviser registration in Iowa, through Richmond Investment Services since April 2026.
How many years of experience does Brooke Gassman have?
Brooke Gassman has 1 year in the financial industry, since September 2025, across 1 adviser firm.
What exams has Brooke Gassman passed?
Brooke Gassman has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in April 2025.
Where is Brooke Gassman based?
Brooke Gassman’s registered office is in Dubuque, IA.
Is Brooke Gassman registered with FINRA?
Yes. Brooke Gassman has a current broker registration, under CRD 7871330.
Source: FINRA BrokerCheck
How can I verify Brooke Gassman’s record?
Search CRD 7871330 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Brooke Gassman’s full registration record.