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NICHOLAS ALLEN NEFF
CRD#: 4445208
IA
B
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 13220 METCALF
SUITE 360
OVERLAND PARK, KS 66213
SUITE 360
OVERLAND PARK, KS 66213
0
Disclosures
23
Years of Experience
View By:
State Registrations
B
Arkansas 1/6/2017
B
Minnesota 1/26/2021
IA
Arkansas 1/10/2017
IA
Minnesota 1/26/2021
B
Florida 9/27/2023
B
Missouri 2/28/2007
IA
Florida 9/28/2023
IA
Missouri 2/28/2007
B
Georgia 5/21/2010
B
Oklahoma 7/10/2013
IA
Georgia 7/21/2016
IA
Oklahoma 7/22/2013
B
Indiana 7/20/2016
B
Texas 5/19/2021
IA
Indiana 7/21/2016
IA
Texas 5/19/2021
B
Kansas 2/21/2007
B
Virginia 9/17/2020
IA
Kansas 2/21/2007
IA
Virginia 9/19/2020
SRO Registrations
B
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IA
Registered with this firm since 2/21/2007
B
Registered with this firm since 2/21/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/07/2005 - 02/09/2007 | OVERLAND PARK, KS | |
IA | 05/20/2004 - 12/08/2005 | OVERLAND PARK, KS | |
B | 01/02/2004 - 12/08/2005 | CEDAR RAPIDS, IA | |
IA | 10/09/2001 - 10/07/2003 | WICHITA, KS | |
B | 09/07/2001 - 10/07/2003 | OVERLAND PARK, KS |
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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.