Richard William Rose

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2007 → 06/2020
  Usaa Financial Advisors, Inc.
  San Antonio, TX
• 10/2007 → 06/2020
  Usaa Financial Planning Services
  San Antonio, TX
• 01/2018 → 06/2020
  Usaa Investment Management Company
  San Antonio, TX
• 05/2025 → 10/2025
  Usaa Investment Services Company
  San Antonio, TX
• 11/2007 → 10/2025
  Usaa
  San Antonio, TX
• 12/2025 → Present
  Lpl Financial
  San Antonio, TX

Previous Registrations

• 2018-01-08 → 2020-07-08
  Usaa Investment Services Company
  San Antonio, TX
• 2007-10-08 → 2018-01-08
  Usaa Financial Planning Services
  San Antonio, TX
  San Antonio, TX
  San Antonio, TX
• 2002-08-27 → 2007-10-15
  Usaa Investment Services Company
  San Antonio, TX
  San Antonio, TX
  San Antonio, TX

Other Businesses

1) 12/10/2025 - Genesis Wealth Management DBA LPL Business (entity for LPL business) Inv Related / At reported business location (s) 160 Total Hours per month- 40 Total Hours per month during trading*

Exams

• S66 Uniform Combined State Law Examination
  2025-12-08
• S65 Uniform Investment Adviser Law Examination
  2002-08-26
• S63 Uniform Securities Agent State Law Examination
  2000-05-11

Designations

• Certified Financial Planner

Other Names

• Richard William Rose Ii
• Richard William Rose
• Richard William Rose