Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
THOMAS CLAYTON PETERSON
CRD#: 5152227
IA
Investment Adviser
B
Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 165 SOUTH UNION BOULEVARD
SUITE 600
LAKEWOOD, CO 80228
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - Present (18 years)
License(s)

State Registrations

B
Arizona 10/23/2020
IA
Nebraska 4/8/2022
IA
Arizona 11/9/2020
B
New York 11/27/2012
B
Colorado 10/18/2006
B
North Carolina 11/6/2024
IA
Colorado 12/5/2006
IA
North Carolina 11/6/2024
B
Massachusetts 10/28/2021
B
Virginia 7/6/2023
IA
Massachusetts 11/22/2021
IA
Virginia 7/6/2023
B
Nebraska 4/7/2022

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)
165 SOUTH UNION BOULEVARD SUITE 600, LAKEWOOD, CO 80228
Registered with this firm since 12/5/2006
B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
165 SOUTH UNION BOULEVARD SUITE 600, LAKEWOOD, CO 80228
Registered with this firm since 9/18/2006
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.