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Current Employers
Valic Financial Advisors, Inc.

2919 Allen Pkwy, Houston, TX 77019 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2014-01-23
IN RA APPROVED 2012-07-30
  • OH RA
    APPROVED
    Since 2014-01-23
  • IN RA
    APPROVED
    Since 2012-07-30

Branch Locations

630 West Carmel Drive Suite 140, Carmel, IN 46032 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Valic Financial Advisors, Inc. Carmel IN 08/2011 Present
Agia Houston TX 12/2022 Present
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
S65 Uniform Investment Adviser Law Examination 2012-07-19
S63 Uniform Securities Agent State Law Examination 2008-04-01
  • S65 Uniform Investment Adviser Law Examination
    2012-07-19
  • S63 Uniform Securities Agent State Law Examination
    2008-04-01

View on SEC IAPD

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