Katherine Neblett Waller

Current Employers

Valic Financial Advisors, Inc.

2919 Allen Pkwy, Houston, TX 77019 • United States

Current Registrations

Authority	Category	Status	Date
ME	RA	APPROVED	2022-07-25
FL	RA	APPROVED	2022-03-24
WV	RA	APPROVED	2022-02-04
OH	RA	APPROVED	2017-02-13
TX	RA	APPROVED_RES	2015-05-14
MI	RA	APPROVED	2012-05-17
NC	RA	APPROVED	2011-06-08
VA	RA	APPROVED	2010-10-05

ME RA
APPROVED

Since 2022-07-25
FL RA
APPROVED

Since 2022-03-24
WV RA
APPROVED

Since 2022-02-04
OH RA
APPROVED

Since 2017-02-13
TX RA
APPROVED_RES

Since 2015-05-14
MI RA
APPROVED

Since 2012-05-17
NC RA
APPROVED

Since 2011-06-08
VA RA
APPROVED

Since 2010-10-05

Branch Locations

Pulaski, VA • United States

10800 Midlothian Turnpike Suite 200, North Chesterfield, VA 23235 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Valic Financial Advisors, Inc.	Richmond	VA	06/2010	Present
Agia	Houston	TX	12/2022	Present

06/2010 → Present

Valic Financial Advisors, Inc.

Richmond, VA
12/2022 → Present

Agia

Houston, TX

Other Businesses

AGIA POSITION: Agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/17/2022 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Non-Securities Insurance Products

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-09-29
S63	Uniform Securities Agent State Law Examination	2004-02-24

S65 Uniform Investment Adviser Law Examination

2010-09-29
S63 Uniform Securities Agent State Law Examination

2004-02-24