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Kristen Noell Rose

Valic Financial Advisors, Inc.

Scottsdale, AZ

CRD 4288601

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Employer firm

Valic Financial Advisors, Inc. CRD 42803

$29.2B regulatory AUM 38 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • RECOMMEND WRAP ACCOUNTS TO CLIENTS

From the firm’s Form ADV. Read the guides:

Current Employers
Valic Financial Advisors, Inc.

2919 Allen Pkwy, Houston, TX 77019 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2026-06-26
UT RA APPROVED 2026-01-30
MT RA APPROVED 2025-11-11
MD RA APPROVED 2025-11-10
NC RA APPROVED 2025-02-26
IA RA APPROVED 2024-12-02
NV RA APPROVED 2024-09-11
NY RA APPROVED 2024-05-31
CO RA APPROVED 2024-03-22
IL RA APPROVED 2024-02-01
WA RA APPROVED 2023-01-11
CA RA APPROVED 2022-09-01
VA RA APPROVED 2022-09-01
SC RA APPROVED 2022-01-26
TX RA APPROVED_RES 2022-01-26
FL RA APPROVED 2019-07-24
AZ RA APPROVED 2011-07-06
  • OH RA
    APPROVED
    Since 2026-06-26
  • UT RA
    APPROVED
    Since 2026-01-30
  • MT RA
    APPROVED
    Since 2025-11-11
  • MD RA
    APPROVED
    Since 2025-11-10
  • NC RA
    APPROVED
    Since 2025-02-26
  • IA RA
    APPROVED
    Since 2024-12-02
  • NV RA
    APPROVED
    Since 2024-09-11
  • NY RA
    APPROVED
    Since 2024-05-31
  • CO RA
    APPROVED
    Since 2024-03-22
  • IL RA
    APPROVED
    Since 2024-02-01
  • WA RA
    APPROVED
    Since 2023-01-11
  • CA RA
    APPROVED
    Since 2022-09-01
  • VA RA
    APPROVED
    Since 2022-09-01
  • SC RA
    APPROVED
    Since 2022-01-26
  • TX RA
    APPROVED_RES
    Since 2022-01-26
  • FL RA
    APPROVED
    Since 2019-07-24
  • AZ RA
    APPROVED
    Since 2011-07-06

Branch Locations

15333 North Pima Road Suite 235, Scottsdale, AZ 85260 • 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
OrganizationCityStateFromTo
Valic Financial Advisors Phoenix AZ 05/2011 Present
Agia Houston TX 12/2022 Present
  • 05/2011 → Present
    Valic Financial Advisors
    Phoenix, AZ
  • 12/2022 → Present
    Agia
    Houston, TX
Previous Registrations
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
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-22
S63 Uniform Securities Agent State Law Examination 2005-10-24
  • S66 Uniform Combined State Law Examination
    2008-02-22
  • S63 Uniform Securities Agent State Law Examination
    2005-10-24
Other Names
  • Kristen Noell Berwick
  • Kristen Noell Sandlin
  • Kristen Noell Warzyca
  • Kristen Noell Dennis

View on SEC IAPD

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