Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
20082010201220142016201820202022202420262 FIRMS2014 - Present (10 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2014 (1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2007 - 2012 (5 years)
Disclosure(s)
View By:
7/31/2014
Employment Separation After Allegations
License(s)

State Registrations

B
Arizona 8/24/2020
IA
North Carolina 3/1/2018
IA
Arizona 8/24/2020
B
North Carolina 3/2/2018
B
California 4/4/2024
B
Ohio 8/21/2020
IA
California 4/4/2024
IA
Ohio 8/21/2020
B
Florida 3/1/2018
B
Oregon 2/17/2023
IA
Florida 3/1/2018
IA
Oregon 2/17/2023
B
Illinois 8/27/2020
B
Virginia 11/17/2022
IA
Illinois 8/27/2020
IA
Virginia 11/17/2022
B
Indiana 8/21/2020
B
Washington 7/1/2022
IA
Indiana 8/24/2020
IA
Washington 7/7/2022
B
Michigan 10/2/2014
B
Wisconsin 8/20/2020
IA
Michigan 10/14/2014
IA
Wisconsin 8/20/2020

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)
ROCKFORD, MI
Registered with this firm since 10/14/2014
B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
ROCKFORD, MI
Registered with this firm since 10/1/2014
Previous Registration(s)
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B
 10/01/2012 - 08/22/2014 J.P. MORGAN SECURITIES LLC (CRD#:79) GRAND RAPIDS, MI
B
 04/19/2007 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) GRAND RAPIDS, MI
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.