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Charles Stephen Capozzoli

Valic Financial Advisors, Inc.

Chicago, IL

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Current Employers
Valic Financial Advisors, Inc.

2919 Allen Pkwy, Houston, TX 77019 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2025-04-09
MI RA APPROVED 2024-06-28
AZ RA APPROVED 2019-12-11
FL RA APPROVED 2018-02-22
MO RA APPROVED 2015-05-04
IL RA APPROVED 2014-01-14
MN RA APPROVED 2014-01-14
WI RA APPROVED 2014-01-14
  • SC RA
    APPROVED
    Since 2025-04-09
  • MI RA
    APPROVED
    Since 2024-06-28
  • AZ RA
    APPROVED
    Since 2019-12-11
  • FL RA
    APPROVED
    Since 2018-02-22
  • MO RA
    APPROVED
    Since 2015-05-04
  • IL RA
    APPROVED
    Since 2014-01-14
  • MN RA
    APPROVED
    Since 2014-01-14
  • WI RA
    APPROVED
    Since 2014-01-14

Branch Locations

500 West Madison Suite 2850, Chicago, IL 60661 • 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
OrganizationCityStateFromTo
Valic Financial Advisors, Inc. Edina MN 10/2013 Present
Agia Houston TX 12/2022 Present
Other Businesses

Power Baseball Team 721 Wesley Drive Park Ridge, IL 60068 Start date: 02/04/2013 Not investment related 5% of time spent on outside business/none during securities trading hours. I am the manager and player of a Men's baseball team in the Chicago North Men's Senior Baseball League.I sometimes need to collect league fees and payments for things such as uniforms. I am written a check by the league every 5 games that covers the cost of the umpires which I pay for at each game. 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 2014-01-13
S63 Uniform Securities Agent State Law Examination 2011-11-07
  • S65 Uniform Investment Adviser Law Examination
    2014-01-13
  • S63 Uniform Securities Agent State Law Examination
    2011-11-07
Designations
Other Names
  • Charlie Stephen Capozzoli
  • Charles S Capozzoli

View on SEC IAPD

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