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
JOSHUA KEITH TOOTLE
JOSH TOOTLE, JOSHUA K TOOTLE, JOSHUA TOOTLE
CRD#: 5664986
IA
Investment Adviser
B
Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 VANCLEAVE, MS
Registration History
201620172018201920202021202220232024202520262 FIRMS2019 - Present (6 years)BQUESTAR CAPITAL CORPORATION (CRD# 43100)2016 - 2019 (2 years)BAMERITAS INVESTMENT CORP. (CRD# 14869)2016 - 2016 (<1 year)IAQUESTAR ASSET MANAGEMENT, INC. (CRD# 133358)2017 - 2019 (1 year)
License(s)

State Registrations

B
Alabama 6/4/2019
IA
Louisiana 11/14/2019
IA
Alabama 6/4/2019
B
Mississippi 2/19/2019
B
Louisiana 11/14/2019
IA
Mississippi 2/19/2019

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)
VANCLEAVE, MS
Registered with this firm since 2/19/2019
B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
VANCLEAVE, MS
Registered with this firm since 2/19/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/18/2017 - 02/21/2019 QUESTAR ASSET MANAGEMENT, INC. (CRD#:133358) BILOXI, MS
B
 11/21/2016 - 02/21/2019 QUESTAR CAPITAL CORPORATION (CRD#:43100) Biloxi, MS
B
 08/19/2016 - 11/23/2016 AMERITAS INVESTMENT CORP. (CRD#:14869) BILOXI, MS
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.