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KATHY LEANNE ROSADO
KATHY LEANNE KEITH, KATHY LACEY, KATHY MORRIS
CRD#: 2810480
IA
Investment Adviser
B
Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 2929 ALLEN PARKWAY
HOUSTON, TX 77019
Registration History
1998200020022004200620082010201220142016201820202022202420264 FIRMS2014 - 2016 (2 years)2 FIRMS2006 - Present (18 years)BAMERICAN GENERAL EQUITY SERVIC... (CRD# 5435)2005 - 2006 (1 year)BAMERICAN GENERAL EQUITY SERVIC... (CRD# 5435)2004 - 2005 (<1 year)BAMERICAN GENERAL SECURITIES IN... (CRD# 13626)2002 - 2004 (2 years)BAMERICAN GENERAL EQUITY SERVIC... (CRD# 5435)2003 - 2004 (1 year)BFRANKLIN FINANCIAL SERVICES CO... (CRD# 5435)1997 - 2002 (5 years)
Disclosure(s)
View By:
7/23/2021
Regulatory
Final
11/7/2016
Regulatory
Final
License(s)

State Registrations

B
Alabama 12/23/2013

B
Montana 12/23/2013

B
Arizona 12/23/2013

B
Nebraska 5/1/2014

B
Arkansas 12/23/2013

B
Nevada 12/23/2013

B
California 12/23/2013

B
New Hampshire 12/23/2013

B
Colorado 12/23/2013

B
New Jersey 12/23/2013

B
Connecticut 12/23/2013

B
New Mexico 12/23/2013

B
Delaware 12/23/2013

B
New York 12/23/2013

B
District of Columbia 12/23/2013

B
North Carolina 12/23/2013

B
Florida 12/23/2013

B
Ohio 12/23/2013

B
Georgia 12/23/2013

B
Oklahoma 12/23/2013

B
Hawaii 12/23/2013

B
Oregon 12/23/2013

B
Idaho 12/23/2013

B
Pennsylvania 12/23/2013

B
Illinois 12/23/2013

B
Rhode Island 12/23/2013

B
Indiana 12/23/2013

B
South Carolina 12/23/2013

B
Iowa 12/23/2013

B
South Dakota 12/23/2013

B
Kansas 12/23/2013

B
Tennessee 12/23/2013

B
Kentucky 12/23/2013

B
Texas 9/25/2006

B
Louisiana 12/23/2013

IA
Texas 9/25/2006

B
Maine 12/23/2013

B
Utah 12/23/2013

B
Maryland 12/23/2013

B
Vermont 12/23/2013

B
Massachusetts 12/23/2013

B
Virginia 12/23/2013

B
Michigan 12/23/2013

B
Washington 12/23/2013

B
Minnesota 12/23/2013

B
West Virginia 12/23/2013

B
Mississippi 12/23/2013

B
Wisconsin 12/23/2013

B
Missouri 12/23/2013

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
2929 ALLEN PARKWAY, HOUSTON, TX 77019
Registered with this firm since 9/25/2006

B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
2929 ALLEN PARKWAY, HOUSTON, TX 77019
Registered with this firm since 9/25/2006

Previous Registration(s)
th hidden textth hidden textNameLocation
B
04/25/2014 - 05/02/2016 FSC SECURITIES CORPORATION (CRD#:7461) ATLANTA, GA
B
04/25/2014 - 05/02/2016 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
B
04/25/2014 - 05/02/2016 SAGEPOINT FINANCIAL, INC. (CRD#:133763) SCOTTSDALE, AZ
B
04/25/2014 - 05/02/2016 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) OAKDALE, MN
B
06/14/2005 - 09/14/2006 AMERICAN GENERAL EQUITY SERVICES CORPORATION (CRD#:5435) HOUSTON, TX
B
10/20/2004 - 05/27/2005 AMERICAN GENERAL EQUITY SERVICES CORPORATION (CRD#:5435) HOUSTON, TX
B
01/25/2002 - 10/04/2004 AMERICAN GENERAL SECURITIES INCORPORATED (CRD#:13626) PHOENIX, AZ
B
01/31/2003 - 07/27/2004 AMERICAN GENERAL EQUITY SERVICES CORPORATION (CRD#:5435) HOUSTON, TX
B
01/08/1997 - 10/01/2002 FRANKLIN FINANCIAL SERVICES CORPORATION (CRD#:5435) HOUSTON, TX
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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.