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Detailed Report
JUSTIN OZEROFF
CRD#: 5824548
IA
Investment Adviser
B
Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 2901 DOUGLAS BOULEVARD
SUITE 150
ROSEVILLE, CA 95661
Registration History
1995200020052010201520202025IAVALIC FINANCIAL ADVISORS, INC. (CRD# 42803)2013 - Present (11 years)BVALIC FINANCIAL ADVISORS, INC. (CRD# 42803)2012 - Present (12 years)BPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)2011 - 2012 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2010 - 2011 (<1 year)
Disclosure(s)
View By:
8/13/1991
Criminal
Final Disposition
License(s)

State Registrations

B
California 8/8/2012
IA
California 6/17/2013

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)
2901 DOUGLAS BOULEVARD SUITE 150, ROSEVILLE, CA 95661
Registered with this firm since 6/17/2013
B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
2901 DOUGLAS BOULEVARD SUITE 150, ROSEVILLE, CA 95661
Registered with this firm since 8/8/2012
Previous Registration(s)
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B
 10/05/2011 - 07/20/2012 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) ROSEVILLE, CA
B
 12/03/2010 - 01/04/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SACRAMENTO, CA
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.