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RICKEY JACK CARLSON
R.J. CARLSON, RICK J CARLSON
CRD#: 5708708
IA
Investment Adviser
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Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 2919 ALLEN PARKWAY
9th FLOOR - RETIREMENT EDUCATION CENTER
HOUSTON, TX 77019
Registration History
2010201220142016201820202022202420262 FIRMS2013 - 2014 (<1 year)2 FIRMS2014 - 2022 (8 years)2 FIRMS2022 - 2023 (<1 year)2 FIRMS2023 - Present (2 years)BAIG CAPITAL SERVICES, INC. (CRD# 13158)2015 - 2021 (5 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2013 (<1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2010 - 2012 (2 years)BFIRST COMMAND FINANCIAL PLANNI... (CRD# 3641)2009 - 2010 (<1 year)IAFIRST COMMAND FINANCIAL PLANNI... (CRD# 3641)2010 - 2010 (<1 year)
License(s)

State Registrations

B
Alaska 4/21/2023

B
North Carolina 3/14/2023

IA
Alaska 4/25/2023

IA
North Carolina 3/16/2023

B
Arkansas 3/14/2023

B
Oregon 3/8/2024

IA
Arkansas 3/29/2023

IA
Oregon 3/10/2024

B
Delaware 6/15/2023

B
Pennsylvania 10/26/2023

IA
Delaware 6/20/2023

IA
Pennsylvania 10/27/2023

B
Florida 6/16/2023

B
Rhode Island 6/15/2023

IA
Florida 6/19/2023

IA
Rhode Island 6/16/2023

B
Georgia 1/11/2025

B
South Carolina 3/14/2023

B
Maine 10/12/2023

IA
South Carolina 3/22/2023

IA
Maine 10/12/2023

B
Tennessee 3/14/2023

B
Maryland 3/30/2023

B
Texas 2/21/2023

IA
Maryland 3/30/2023

IA
Texas 2/21/2023

B
Massachusetts 6/15/2023

B
Vermont 6/15/2023

IA
Massachusetts 7/6/2023

IA
Vermont 6/16/2023

B
New Hampshire 6/15/2023

B
Virginia 3/14/2023

IA
New Hampshire 6/21/2023

IA
Virginia 3/15/2023

B
New Jersey 6/16/2023

B
Washington 3/8/2024

IA
New Jersey 6/19/2023

IA
Washington 3/8/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
2919 ALLEN PARKWAY 9th FLOOR - RETIREMENT EDUCATION CENTER, HOUSTON, TX 77019
Registered with this firm since 2/21/2023

B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
2919 ALLEN PARKWAY 9th FLOOR - RETIREMENT EDUCATION CENTER, HOUSTON, TX 77019
Registered with this firm since 2/21/2023

Previous Registration(s)
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10/03/2022 - 03/17/2023 SYMPHONY FINANCIAL, LTD. CO. (CRD#:171816) Kingwood, TX
B
10/03/2022 - 01/30/2023 LPL FINANCIAL LLC (CRD#:6413) KINGWOOD, TX
IA
01/30/2014 - 09/29/2022 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) HOUSTON, TX
B
01/30/2014 - 09/29/2022 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) HOUSTON, TX
B
12/08/2015 - 08/16/2021 AIG CAPITAL SERVICES, INC. (CRD#:13158) HOUSTON, TX
IA
10/01/2013 - 01/02/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) HOUSTON, TX
B
07/31/2013 - 01/02/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) HOUSTON, TX
B
10/01/2012 - 07/19/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) HOUSTON, TX
B
07/14/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HOUSTON, TX
IA
01/04/2010 - 06/11/2010 FIRST COMMAND FINANCIAL PLANNING, INC. (CRD#:3641) HOUSTON, TX
B
10/14/2009 - 06/11/2010 FIRST COMMAND FINANCIAL PLANNING, INC. (CRD#:3641) HOUSTON, TX
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Broker
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Investment Adviser
Disclosures
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