Alexander H Yates

Current Employers

Valic Financial Advisors, Inc.

2919 Allen Pkwy, Houston, TX 77019 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2025-04-23
CA	RA	APPROVED	2017-02-24
FL	RA	APPROVED	2014-05-02
OH	RA	APPROVED	2011-11-02
IN	RA	APPROVED	2010-07-23

PA RA
APPROVED

Since 2025-04-23
CA RA
APPROVED

Since 2017-02-24
FL RA
APPROVED

Since 2014-05-02
OH RA
APPROVED

Since 2011-11-02
IN RA
APPROVED

Since 2010-07-23

Branch Locations

8111 Emerson Ave, Indianapolis, IN 46237 • United States

400 Northpointe Circle Suite 302, Seven Fields, PA 16046 • 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	Carmel	IN	03/2010	Present
Agia	Houston	TX	12/2022	Present

03/2010 → Present

Valic Financial Advisors

Carmel, IN
12/2022 → Present

Agia

Houston, TX

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
S65	Uniform Investment Adviser Law Examination	2010-07-22
S63	Uniform Securities Agent State Law Examination	2009-01-29

S65 Uniform Investment Adviser Law Examination

2010-07-22
S63 Uniform Securities Agent State Law Examination

2009-01-29

Other Names

Alex H. Yates

View on SEC IAPD