Tom Lee Rosenbaum

Current Employers

Valic Financial Advisors, Inc.

2919 Allen Pkwy, Houston, TX 77019 • United States

Current Registrations

Authority	Category	Status	Date
ID	RA	APPROVED	2022-02-22
NV	RA	APPROVED	2019-11-04
OR	RA	APPROVED	2018-09-13
CA	RA	APPROVED	2002-08-19

ID RA
APPROVED

Since 2022-02-22
NV RA
APPROVED

Since 2019-11-04
OR RA
APPROVED

Since 2018-09-13
CA RA
APPROVED

Since 2002-08-19

Branch Locations

3801 University Ave Suite 220, Riverside, CA 92501 • 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	Anaheim	CA	06/2002	Present
Agia	Houston	TX	12/2022	Present

06/2002 → Present

Valic Financial Advisors

Anaheim, CA
12/2022 → Present

Agia

Houston, TX

Previous Registrations

2000-03-14 → 2002-06-12

Waddell & Reed

Riverside, CA

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
S66	Uniform Combined State Law Examination	2000-03-08

S66 Uniform Combined State Law Examination

2000-03-08

Designations

Other Names

Thomas L Rosenbaum

View on SEC IAPD