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Detailed Report
DAWN MARIE EVANS
CRD#: 2255281
IA
Investment Adviser
B
Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 4300 WEST CYPRESS STREET
SUITE 1000
TAMPA, FL 33607
Registration History
19952000200520102015202020252 FIRMS1992 - 1993 (<1 year)2 FIRMS1999 - Present (26 years)BPUBLIC EMPLOYEES EQUITIES SERV... (CRD# 7315)1998 - 2000 (1 year)BCENTAURUS FINANCIAL, INC. (CRD# 30833)1997 - 1998 (1 year)BWALNUT STREET SECURITIES, INC. (CRD# 15840)1996 - 1996 (<1 year)BNORTH AMERICAN MANAGEMENT, INC. (CRD# 624)1995 - 1996 (1 year)
Disclosure(s)
View By:
6/10/2014
Customer Dispute
Denied
License(s)

State Registrations

B
California 5/26/2004
IA
New Hampshire 2/8/2024
B
Florida 3/8/1999
B
North Carolina 2/27/2015
IA
Florida 3/8/1999
IA
North Carolina 7/20/2021
B
New Hampshire 2/1/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
4300 WEST CYPRESS STREET SUITE 1000, TAMPA, FL 33607
Registered with this firm since 3/8/1999
B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
4300 WEST CYPRESS STREET SUITE 1000, TAMPA, FL 33607
Registered with this firm since 3/2/1999
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 11/13/1998 - 03/08/2000 PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY (CRD#:7315) PALM BEACH GARDENS, FL
B
 01/17/1997 - 02/19/1998 CENTAURUS FINANCIAL, INC. (CRD#:30833) ANAHEIM, CA
B
 06/01/1996 - 07/18/1996 WALNUT STREET SECURITIES, INC. (CRD#:15840) EL SEGUNDO, CA
B
 01/26/1995 - 06/01/1996 NORTH AMERICAN MANAGEMENT, INC. (CRD#:624) SIOUX FALLS, SD
B
 07/27/1992 - 01/19/1993 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 07/27/1992 - 01/19/1993 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.