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Detailed Report
NORMAN C MERLET
CRD#: 5523607
IA
Investment Adviser
B
Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 630 WEST CARMEL DRIVE
SUITE 140
CARMEL, IN 46032
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2011 - 2012 (1 year)2 FIRMS2014 - 2016 (1 year)2 FIRMS2016 - Present (9 years)BSIGNATOR INVESTORS, INC. (CRD# 468)2008 - 2011 (3 years)
Disclosure(s)
View By:
6/4/2003
Criminal
Final Disposition
License(s)

State Registrations

B
Illinois 9/14/2017
B
Maine 12/3/2020
IA
Indiana 3/24/2016
IA
Maine 12/3/2020
B
Indiana 3/28/2016

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)
630 WEST CARMEL DRIVE SUITE 140, CARMEL, IN 46032
Registered with this firm since 3/24/2016
B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
630 WEST CARMEL DRIVE SUITE 140, CARMEL, IN 46032
Registered with this firm since 3/24/2016
Previous Registration(s)
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IA
 07/28/2014 - 04/06/2016 ONEAMERICA SECURITIES, INC. (CRD#:4173) INDIANAPOLIS, IN
B
 07/16/2014 - 04/06/2016 ONEAMERICA SECURITIES, INC. (CRD#:4173) INDIANAPOLIS, IN
IA
 10/11/2011 - 08/17/2012 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) INDIANAPOLIS, IN
B
 07/26/2011 - 08/17/2012 NEW ENGLAND SECURITIES (CRD#:615) INDIANAPOLIS, IN
B
 05/21/2008 - 07/18/2011 SIGNATOR INVESTORS, INC. (CRD#:468) INDIANAPOLIS, IN
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.