Unclaimed Profile

Patrick Allen Richard

ASSOCIATED INVESTMENT SERVICES, INC.·GREEN BAY, Wisconsin

SIE, Series 7, Series 8, Series 9, Series 10, Series 63, Series 6512 years registeredASSOCIATED INVESTMENT SERVICES, INC.

333 MAIN STREET, SUITE 300, GREEN BAY, WI 54301-5159CRD# 1199535Firm CRD# 1464

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Patrick Allen Richard · GREEN BAY, WI

Registration

CRD #1199535 · ASSOCIATED INVESTMENT SERVICES, INC. · 12 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: ASSOCIATED INVESTMENT SERVICES, INC.

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

Oct 2015 – Nov 2024

Bloomington, MN

ASSOCIATED INVESTMENT SERVICES, INC.

Jan 2014 – Jul 2015

MINNEAPOLIS, MN

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 8

Series 9

Series 10

Series 63

Series 65

Registration record

First registered · January 27, 2014

Years registered · 12

Disclosure History

1999Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

ASSOCIATED INVESTMENT SERVICES, INC.

CRD 1464 · SEC 801-71639

AUM

$863M

Regulatory assets under management

Employees

4,578 client accounts

Services offered by ASSOCIATED INVESTMENT SERVICES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ASSOCIATED INVESTMENT SERVICES, INC. →

Introduction

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Frequently Asked Questions

What services does Patrick Allen Richard offer?

Patrick Allen Richard specializes in Financial Planning, Investment Management, Fee-Only Advisory.

What are Patrick Allen Richard's credentials?

Patrick Allen Richard is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Patrick Allen Richard located?

Patrick Allen Richard is based in GREEN BAY, Wisconsin, last registered with ASSOCIATED INVESTMENT SERVICES, INC..

How does Patrick Allen Richard charge for services?

Patrick Allen Richard's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ASSOCIATED INVESTMENT SERVICES, INC.?

ASSOCIATED INVESTMENT SERVICES, INC. has approximately 62 employees and manages $863M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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