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Detailed Report
ELLEN M RAFLOWSKI
ELLEN MARIA BRIGGS, ELLEN MARIA FARLEY
CRD#: 6217895
IA
Investment Adviser
B
Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 MARCELLUS, NY
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2016 - Present (8 years)BAXA ADVISORS, LLC (CRD# 6627)2013 - 2016 (3 years)IAAXA ADVISORS, LLC (CRD# 6627)2014 - 2016 (2 years)
License(s)

State Registrations

B
New Jersey 10/3/2016
B
New York 10/3/2016
IA
New Jersey 10/3/2016
IA
New York 8/16/2021

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)
MARCELLUS, NY
Registered with this firm since 10/3/2016
B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
MARCELLUS, NY
Registered with this firm since 10/3/2016
Previous Registration(s)
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IA
 01/29/2014 - 10/06/2016 AXA ADVISORS, LLC (CRD#:6627) SYRACUSE, NY
B
 07/11/2013 - 10/06/2016 AXA ADVISORS, LLC (CRD#:6627) SYRACUSE, NY
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.