Peggy Boris has been an investment adviser representative at Richmond Investment Services since June 2024, 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.
Peggy Boris’ longest registration is the current one, 15 years at LPL Financial LLC since 2010. Before joining Richmond Investment Services in 2024, Peggy Boris was registered through Wells Fargo Advisors, LLC.
- – present · 2 yearsMequon, WI · Adviser representative · Firm CRD 327451
- LPL Financial LLCAlso current– present · 15 yearsFort Mill, SC · Adviser representative and broker · Firm CRD 6413
- Wells Fargo Advisors, LLC– · 2 yearsMequon, WI · Adviser representative · Firm CRD 19616
Investment adviser representative registrations
Peggy Boris is registered as an investment adviser representative in 2 states. Each was approved in June 2024.
- TexasSince 14 June 2024
- WisconsinSince 14 June 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 22 April 2005 |
| Series 7 | General Securities Representative Examination | 13 April 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Peggy Ellen Boris
- CRD
- 4917780
- Firm
- Richmond Investment Services · CRD 327451
- Office
- 7702 W MEQUON RD, Mequon, WI 53097-3217
- Registration
- Investment adviser and broker registrations
- In the industry since
- April 2005
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Peggy Boris work?
Peggy Boris is an investment adviser representative registered through Richmond Investment Services LLC since June 2024, and is not listed among the firm’s executive officers or direct owners.
Is Peggy Boris a financial advisor?
Yes. Peggy Boris has a current investment-adviser registration in Texas and Wisconsin, through Richmond Investment Services since June 2024.
How many years of experience does Peggy Boris have?
Peggy Boris has 21 years in the financial industry, since April 2005, across 3 adviser firms.
What exams has Peggy Boris passed?
Peggy Boris has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in April 2005. FINRA credited Peggy Boris with the SIE, which began in October 2018.
Where did Peggy Boris work before Richmond Investment Services?
Before Richmond Investment Services, Peggy Boris was registered through Wells Fargo Advisors, LLC, January 2008 to December 2010.
Where is Peggy Boris based?
Peggy Boris’ registered office is in Mequon, WI.
Is Peggy Boris registered with FINRA?
Yes. Peggy Boris has a current broker registration, under CRD 4917780.
Source: FINRA BrokerCheck
How can I verify Peggy Boris’ record?
Search CRD 4917780 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Peggy Boris’ full registration record.