Richard Alan Poligala

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

• 02/2015 → 04/2018
  Usaa Financial Advisors, Inc.
  San Antonio, TX
• 02/2015 → 04/2018
  Usaa Financial Planning Services
  San Antonio, TX
• 01/2018 → 04/2018
  Usaa Investment Management Company
  San Antonio, TX
• 04/2018 → Present
  Lpl Financial
  San Antonio, TX

Previous Registrations

• 2018-01-08 → 2018-05-11
  Usaa Investment Services Company
  San Antonio, TX
• 2015-02-25 → 2018-01-08
  Usaa Financial Planning Services
  San Antonio, TX
• 2006-06-05 → 2015-02-11
  National Planning Corporation
  Albuquerque, NM
  Albuquerque, NM
  San Antonio, TX

Other Businesses

4/24/2018 - DBA for LPL Business (entity for LPL business) - Genesis Wealth Management - 100% - San Antonio, TX 78258

Exams

• S66 Uniform Combined State Law Examination
  2005-05-20

Designations

• Certified Financial Planner