Individual Firm
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KRISTEN NOELL ROSE
KRISTEN NOELL BERWICK, KRISTEN NOELL DENNIS, KRISTEN NOELL SANDLIN, KRISTEN NOELL WARZYCA
CRD#: 4288601
IA
B
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 15333 NORTH PIMA ROAD
SUITE 235
SCOTTSDALE, AZ 85260
SUITE 235
SCOTTSDALE, AZ 85260
View By:
6/30/2016
Financial
Final
State Registrations
B
Arizona 5/30/2011
IA
Nevada 9/11/2024
IA
Arizona 7/6/2011
B
New York 5/31/2024
IA
California 9/1/2022
IA
New York 5/31/2024
B
California 9/2/2022
IA
North Carolina 2/26/2025
B
Colorado 3/22/2024
B
North Carolina 2/27/2025
IA
Colorado 3/22/2024
IA
South Carolina 1/26/2022
B
Florida 7/24/2019
B
South Carolina 1/27/2022
IA
Florida 7/24/2019
IA
Texas 1/26/2022
B
Illinois 2/1/2024
B
Texas 1/27/2022
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Illinois 2/1/2024
B
Virginia 9/1/2022
B
Iowa 12/2/2024
IA
Virginia 9/1/2022
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Iowa 12/2/2024
B
Washington 1/11/2023
B
Nevada 9/11/2024
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Washington 1/11/2023
SRO Registrations
B
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IA
Registered with this firm since 7/6/2011
B
Registered with this firm since 5/30/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/06/2009 - 05/05/2010 | TUCSON, AZ | |
B | 11/06/2009 - 05/05/2010 | TUCSON, AZ | |
B | 02/06/2008 - 11/18/2009 | TUSCON, AZ | |
B | 02/16/2007 - 02/19/2008 | TUCSON, AZ | |
B | 05/30/2005 - 02/16/2007 | TUCSON, AZ | |
B | 04/02/2003 - 01/21/2005 | CHICAGO, IL | |
B | 11/26/2002 - 04/04/2003 | EL SEGUNDO, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.