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Detailed Report
DOMINIC Vincenzo MARFISI
DOMINIC MARFISI
CRD#: 7150332
IA
Investment Adviser
B
Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 3435 WINCHESTER ROAD
ALLENTOWN, PA 18105
Registration History
201920202021202220232024202520262 FIRMS2019 - Present (5 years)
License(s)

State Registrations

B
New Jersey 7/23/2020
IA
New York 8/16/2021
IA
New Jersey 7/23/2020
B
Pennsylvania 11/13/2019
B
New York 7/23/2020
IA
Pennsylvania 11/13/2019

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)
3435 WINCHESTER ROAD, ALLENTOWN, PA 18105
Registered with this firm since 11/13/2019
B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
3435 WINCHESTER ROAD, ALLENTOWN, PA 18105
Registered with this firm since 9/9/2019
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.