Peter Mercado Serra

Current Employers

Valic Financial Advisors, Inc.

2919 Allen Pkwy, Houston, TX 77019 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-16
TX	RA	APPROVED_RES	2020-09-30
SC	RA	APPROVED	2019-05-30
AZ	RA	APPROVED	2018-06-14
CA	RA	APPROVED	2018-03-06
FL	RA	APPROVED	2017-03-08
WA	RA	APPROVED	2014-11-03
DE	RA	APPROVED	2013-11-14
CT	RA	APPROVED	2011-07-25
NC	RA	APPROVED	2010-10-12
PA	RA	APPROVED	2004-06-11
NJ	RA	APPROVED	2003-11-07

NY RA
APPROVED

Since 2021-08-16
TX RA
APPROVED_RES

Since 2020-09-30
SC RA
APPROVED

Since 2019-05-30
AZ RA
APPROVED

Since 2018-06-14
CA RA
APPROVED

Since 2018-03-06
FL RA
APPROVED

Since 2017-03-08
WA RA
APPROVED

Since 2014-11-03
DE RA
APPROVED

Since 2013-11-14
CT RA
APPROVED

Since 2011-07-25
NC RA
APPROVED

Since 2010-10-12
PA RA
APPROVED

Since 2004-06-11
NJ RA
APPROVED

Since 2003-11-07

Branch Locations

300 Connell Drive Ste 3300, Berkeley Heights, NJ 07922 • 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	Houston	TX	12/2000	Present
Agia	Houston	TX	12/2022	Present

12/2000 → Present

Valic Financial Advisors

Houston, TX
12/2022 → Present

Agia

Houston, TX

Other Businesses

AGIA POSITION: Agent NATURE: Non-Securities Insurance Products 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: Appointed as agent to sell Non-Securities Insurance products for AGIA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-11-06
S63	Uniform Securities Agent State Law Examination	2001-03-24

S65 Uniform Investment Adviser Law Examination

2003-11-06
S63 Uniform Securities Agent State Law Examination

2001-03-24