Matthew Richmond has been Principal/CEO/CCO of Richmond Investment Services since September 2006, is a control person of the firm and directly owns 75% or more of it.
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.
Matthew Richmond’s longest registration was 17 years at LPL Financial LLC (2007–2024). Before joining Richmond Investment Services in 2024, Matthew Richmond was registered through LPL Financial LLC and Chase Investment Services Corp.
- – present · 2 yearsMequon, WI · Adviser representative · Firm CRD 327451
- LPL Financial LLC– · 17 yearsMequon, WI · Adviser representative · Firm CRD 6413
- Chase Investment Services Corp.– · 1 yearGermantown, WI · Adviser representative · Firm CRD 25574
- Banc One Securities Corporation– · under a yearOconomowoc, WI · Adviser representative · Firm CRD 16999
Investment adviser representative registrations
Matthew Richmond is registered as an investment adviser representative in Wisconsin, since June 2024.
- WisconsinSince 12 June 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 8 March 2007 |
| Series 66 | Uniform Combined State Law Examination | 6 September 2002 |
| Series 7 | General Securities Representative Examination | 16 April 2002 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 9 April 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 April 1996 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Matthew Riley Richmond
- CRD
- 2729015
- Firm
- Richmond Investment Services · CRD 327451
- Role
- Principal/CEO/CCO
- Office
- 7702 W MEQUON RD, Mequon, WI 53097-3217
- Registration
- Investment adviser and broker registrations
- In the industry since
- June 1996
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Matthew Richmond work?
Matthew Richmond has been Principal/CEO/CCO of Richmond Investment Services LLC since September 2006, and is a control person of the firm.
Is Matthew Richmond a financial advisor?
Yes. Matthew Richmond has a current investment-adviser registration in Wisconsin, through Richmond Investment Services since June 2024.
How many years of experience does Matthew Richmond have?
Matthew Richmond has 30 years in the financial industry, since June 1996, across 4 adviser firms.
What exams has Matthew Richmond passed?
Matthew Richmond has passed 5 licensing exams: the Series 63, Series 6, Series 7, Series 66 and Series 24. The earliest, the Series 63, was passed in April 1996. FINRA credited Matthew Richmond with the SIE, which began in October 2018.
Where did Matthew Richmond work before Richmond Investment Services?
Before Richmond Investment Services, Matthew Richmond was registered through Chase Investment Services Corp., July 2005 to February 2007; Banc One Securities Corporation, May 2005 to July 2005.
Where is Matthew Richmond based?
Matthew Richmond’s registered office is in Mequon, WI.
Is Matthew Richmond registered with FINRA?
Yes. Matthew Richmond has a current broker registration, under CRD 2729015.
Source: FINRA BrokerCheck
How can I verify Matthew Richmond’s record?
Search CRD 2729015 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Matthew Richmond’s full registration record.