Russell Warren Broad

Current Employers

Valic Financial Advisors, Inc.

2919 Allen Pkwy, Houston, TX 77019 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2025-08-25
IN	RA	APPROVED	2025-07-30
NH	RA	APPROVED	2024-09-05
FL	RA	APPROVED	2015-05-26
ME	RA	APPROVED	2014-11-24

MA RA
APPROVED

Since 2025-08-25
IN RA
APPROVED

Since 2025-07-30
NH RA
APPROVED

Since 2024-09-05
FL RA
APPROVED

Since 2015-05-26
ME RA
APPROVED

Since 2014-11-24

Branch Locations

200 Summit Drive Suite 430, Burlington, MA 01803 • United States

Corinthm, ME • 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 No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Valic Financial Advisors, Inc.	Nashua	NH	03/2014	Present
Agia	Houston	TX	12/2022	Present
Trico Inc	Hampden	ME	04/2019	Present

03/2014 → Present

Valic Financial Advisors, Inc.

Nashua, NH
12/2022 → Present

Agia

Houston, TX
04/2019 → Present

Trico Inc

Hampden, ME

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 UNDERHILL HARNESS RACING POSITION: Owner NATURE: This is partial ownership in a harness racing horse. This is a hobby with my cousin and her husband. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/04/2019 ADDRESS: 1131 Mullen Rd, P.O. 159, Stetson ME 04488, United States DESCRIPTION: I am partial owner of a race horse. I had no duties or authority. We own one horse. We only race local and at the local fairs. This is a hobby TRICO INC POSITION: President NATURE: Trico Inc is a Contracted Service Provider for FEDEX Ground. Trico is responsible for delivering FedEx packages to a contracted service area. Trico owns it's own trucks and employs it's own drivers. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 3 START DATE: 04/14/2019 ADDRESS: 400 Exeter Rd, Corinth ME 04427, United States DESCRIPTION: TRICO INC. Appointed as President to maintain daily contact with Fedex management and TRICO manager that oversees day-to-day activities. Not investment related. Number of hours: 10 weekly.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-11-06

S66 Uniform Combined State Law Examination

2014-11-06