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Detailed Report
FERNANDO DE LA ROSA II
CRD#: 5792979
IA
Investment Adviser
B
Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 1150 9TH STREET
SUITE 1212
MODESTO, CA 95354
Registration History
201020122014201620182020202220242026IAVALIC FINANCIAL ADVISORS, INC. (CRD# 42803)2016 - Present (9 years)BVALIC FINANCIAL ADVISORS, INC. (CRD# 42803)2010 - Present (14 years)
License(s)

State Registrations

B
Alabama 6/16/2023
IA
Hawaii 6/28/2021
IA
Alabama 6/20/2023
B
Oregon 9/2/2010
B
Arizona 11/29/2024
IA
Oregon 1/29/2021
IA
Arizona 12/12/2024
B
Texas 1/28/2021
B
California 9/2/2010
IA
Texas 1/28/2021
IA
California 3/1/2016
B
Washington 9/2/2010
B
Hawaii 6/25/2021
IA
Washington 12/22/2021

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)
1150 9TH STREET SUITE 1212, MODESTO, CA 95354
Registered with this firm since 3/1/2016
B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
1150 9TH STREET SUITE 1212, MODESTO, CA 95354
Registered with this firm since 7/27/2010
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.