Tracey C Kealy

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

Authority	Category	Status	Date
AL	RA	APPROVED	2024-07-10
HI	RA	APPROVED	2024-04-11
SD	RA	APPROVED	2022-08-31
VA	RA	APPROVED	2022-08-27
NC	RA	APPROVED	2022-04-25
CA	RA	APPROVED	2021-10-29
GA	RA	APPROVED	2021-09-24
TX	RA	APPROVED_RES	2021-09-17
FL	RA	APPROVED	2011-03-09

AL RA
APPROVED

Since 2024-07-10
HI RA
APPROVED

Since 2024-04-11
SD RA
APPROVED

Since 2022-08-31
VA RA
APPROVED

Since 2022-08-27
NC RA
APPROVED

Since 2022-04-25
CA RA
APPROVED

Since 2021-10-29
GA RA
APPROVED

Since 2021-09-24
TX RA
APPROVED_RES

Since 2021-09-17
FL RA
APPROVED

Since 2011-03-09

Branch Locations

5201 Waterford District Drive 8Th Floor, Miami, FL 33126 • 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	Miami Lakes	FL	07/2007	Present
Agia	Houston	TX	12/2022	Present

07/2007 → Present

Valic Financial Advisors

Miami Lakes, FL
12/2022 → Present

Agia

Houston, TX

Other Businesses

NOTARY POSITION: Notary NATURE: I am a Notary and do not collect funds. I have only done it for marrying family and friends. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/05/2021 ADDRESS: 10881 SW 121 Street, Miami FL 33176, United States DESCRIPTION: I provide notary services to my clients as a matter of convenience in documents that I do not have a financial interest in. 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
S63	Uniform Securities Agent State Law Examination	2021-09-08
S65	Uniform Investment Adviser Law Examination	2011-03-07

S63 Uniform Securities Agent State Law Examination

2021-09-08
S65 Uniform Investment Adviser Law Examination

2011-03-07

Other Names

Ellen Kealy

View on SEC IAPD