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
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2015 - 2015 (<1 year)IAVALIC FINANCIAL ADVISORS, INC. (CRD# 42803)2016 - Present (8 years)BVALIC FINANCIAL ADVISORS, INC. (CRD# 42803)2015 - Present (9 years)
Disclosure(s)
View By:
12/9/2003
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 9/22/2020
B
Louisiana 5/11/2020
IA
Alabama 9/22/2020
B
Mississippi 10/26/2015
B
Arkansas 11/7/2016
IA
Mississippi 4/26/2016
IA
Arkansas 11/7/2016
B
Missouri 9/29/2021
B
Florida 7/19/2019
IA
Missouri 9/29/2021
IA
Florida 5/5/2021
B
Tennessee 10/2/2015
B
Georgia 5/21/2018
IA
Tennessee 5/2/2016
IA
Georgia 5/21/2018
IA
Texas 4/26/2016
B
Iowa 5/11/2020
B
Texas 5/6/2016
B
Kentucky 8/23/2016
B
Virginia 10/30/2018
IA
Kentucky 8/3/2022
IA
Virginia 10/30/2018

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)
MEMPHIS, TN
Registered with this firm since 4/26/2016
B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
MEMPHIS, TN
Registered with this firm since 9/17/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 05/14/2015 - 09/22/2015 FIRST HEARTLAND CAPITAL, INC. (CRD#:32460) Memphis, TN
B
 02/11/2015 - 05/22/2015 MUTUAL OF OMAHA INVESTOR SERVICES, INC. (CRD#:611) MEMPHIS, TN
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.