RF
Richard A. Fogal
LOMBARD ADVISERS
Allentown, PA 18106
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CRD#: 7161950
RF
Professional summary
Richard Alan Fogal JR, who also goes by Richard Alan Fogal Jr, Richard Alan Fogal, is a registered financial advisor currently at LOMBARD ADVISERS INCORPORATED located in Allentown, Pennsylvania and LOMBARD SECURITIES INCORPORATED located in Allentown, Pennsylvania.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Richard has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Alan Fogal Jr | Richard Alan Fogal
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Affiliated with Cornerstone Portfolios, LLC (DBA for Lombard Securities Incorporated), located at 6235 Hamilton Blvd., Ste. 100, Allentown, PA 18106. Affiliated with this investment-related business beginning April 2023. 100% of my time during market hours is devoted to this business. I have maintained an insurance license since 2018. I am licensed to sell Life Insurance and fixed annuities. Approximately 5 hours are spent on insurance related matters each week. Ordained Minister, Not Investment Related, Allentown, PA, 5/2008 to Present, 0 hours per month (0 hours per month during securities trading hours). Assistant track and field coach for local high school, March through June.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Alan Fogal JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 5, 2023 - Present
LOMBARD ADVISERS INCORPORATED
Office #1: 6235 Hamilton Blvd. Suite 100, Allentown, PA 18106RIA
CRD#: 108231
Allentown, PA
Current
April 5, 2023 - Present
LOMBARD SECURITIES INCORPORATED
Office #1: 6235 Hamilton Blvd. Suite 100, Allentown, PA 18106BD
CRD#: 27954
Allentown, PA
Past
October 7, 2020 - April 6, 2023
PFS INVESTMENTS INC.
RIA
CRD#: 10111
ALLENTOWN, PA
Past
August 23, 2019 - April 6, 2023
PFS INVESTMENTS INC.
BD
CRD#: 10111
ALLENTOWN, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LA
LOMBARD ADVISERS INCORPORATED
ARK FINANCIAL SOLUTIONS | WHITEHOUSE FINANCIAL GROUP | WEST VIRGINIA WEALTH ADVISORS | TANGEN FINANCIAL, LLC | SLAGLE INVESTMENTS, LLC | LOMBARD ADVISERS INCORPORATED | KOCHEL WEALTH MANAGEMENT | JEFFREY D. MURRAY & CO. | JACK A. HEIL CPA | HUNDLEY & ASSOCIATES | GARY COLLIER & ASSOCIATES | FINANCIAL & TAX SERVICES, LLC | DABAREINER WEALTH MANAGEMENT | COX WEALTH ADVISORS | CORTO FINANCIAL GROUP, LLC | CORNERSTONE PORTFOLIOS, LLC | BYRD WEALTH MANAGEMENT
CRD#: 108231 / SEC#: 801-114981
RIA
Registered Investment Advisory firm - (4/12/2019 Approved)Colorado
Registered Investment Advisory firm - (12/31/2009 Terminated)Delaware
Registered Investment Advisory firm - (5/1/2019 Terminated)Louisiana
Registered Investment Advisory firm - (4/30/2019 Terminated)Maryland
Registered Investment Advisory firm - (5/10/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)Michigan
Registered Investment Advisory firm - (11/27/2001 Terminated)New Hampshire
Registered Investment Advisory firm - (12/31/2004 Terminated)New Jersey
Registered Investment Advisory firm - (4/30/2019 Terminated)North Carolina
Registered Investment Advisory firm - (5/1/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/29/2019 Terminated)South Dakota
Registered Investment Advisory firm - (1/28/2004 Terminated)Texas
Registered Investment Advisory firm - (4/29/2019 Terminated)Virginia
Registered Investment Advisory firm - (8/2/2019 Terminated)West Virginia
Registered Investment Advisory firm - (4/29/2019 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(8/13/2025)
RR
Maryland(1/8/2024)
RR
Missouri(10/30/2024)
RR
New Jersey(12/8/2023)
RR
New York(3/5/2025)
RR
North Carolina(10/23/2023)
RR
Pennsylvania(4/5/2023)
IAR
Pennsylvania(4/5/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 8/23/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LA
LOMBARD ADVISERS INCORPORATED
ARK FINANCIAL SOLUTIONS | WHITEHOUSE FINANCIAL GROUP | WEST VIRGINIA WEALTH ADVISORS | TANGEN FINANCIAL, LLC | SLAGLE INVESTMENTS, LLC | LOMBARD ADVISERS INCORPORATED | KOCHEL WEALTH MANAGEMENT | JEFFREY D. MURRAY & CO. | JACK A. HEIL CPA | HUNDLEY & ASSOCIATES | GARY COLLIER & ASSOCIATES | FINANCIAL & TAX SERVICES, LLC | DABAREINER WEALTH MANAGEMENT | COX WEALTH ADVISORS | CORTO FINANCIAL GROUP, LLC | CORNERSTONE PORTFOLIOS, LLC | BYRD WEALTH MANAGEMENT
CRD#: 108231 / SEC#: 801-114981
RIA
Registered Investment Advisory firm - (4/12/2019 Approved)Colorado
Registered Investment Advisory firm - (12/31/2009 Terminated)Delaware
Registered Investment Advisory firm - (5/1/2019 Terminated)Louisiana
Registered Investment Advisory firm - (4/30/2019 Terminated)Maryland
Registered Investment Advisory firm - (5/10/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)Michigan
Registered Investment Advisory firm - (11/27/2001 Terminated)New Hampshire
Registered Investment Advisory firm - (12/31/2004 Terminated)New Jersey
Registered Investment Advisory firm - (4/30/2019 Terminated)North Carolina
Registered Investment Advisory firm - (5/1/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/29/2019 Terminated)South Dakota
Registered Investment Advisory firm - (1/28/2004 Terminated)Texas
Registered Investment Advisory firm - (4/29/2019 Terminated)Virginia
Registered Investment Advisory firm - (8/2/2019 Terminated)West Virginia
Registered Investment Advisory firm - (4/29/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1820 Lancaster St, Baltimore, MD 21231
Mailing Address
Phone number
(410) 342-1300
Established
Firm type
Fiscal year end
# of Employees
42
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,377 |
| AUM (Assets Under Management) | $ 567,437,959 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LOMBARD ADVISERS INCORPORATED
CRD#: 108231Allentown, PA 18106TRUST BUT VERIFY
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