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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

AuthorityCategoryStatusDate
MA RA APPROVED 2026-06-09
NJ RA APPROVED 2026-05-21
PA RA APPROVED 2026-05-21
CT RA APPROVED 2026-05-20
NY RA APPROVED 2026-04-20
  • MA RA
    APPROVED
    Since 2026-06-09
  • NJ RA
    APPROVED
    Since 2026-05-21
  • PA RA
    APPROVED
    Since 2026-05-21
  • CT RA
    APPROVED
    Since 2026-05-20
  • NY RA
    APPROVED
    Since 2026-04-20

Branch Locations

New York, NY • United States

52 South Union Suite 101, Williamsville, NY 14221 • 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
Jefferies Llc New York NY 02/2024 11/2024
Jefferies Research Services Llc New York NY 02/2024 11/2024
Usaf San Antonio TX 07/2018 07/2022
Baruch Mba New York NY 08/2022 02/2024
Suny Downstate Brooklyn NY 08/2015 12/2017
Unemployed West Hempstead NY 12/2017 07/2018
Valley Financial Management, Inc. New York NY 07/2025 01/2026
Valley National Bank New York NY 07/2025 01/2026
Unemployed New York NY 11/2024 07/2025
Valic Financial Advisors, Inc. Williamsville NY 04/2026 Present
  • 02/2024 → 11/2024
    Jefferies Llc
    New York, NY
  • 02/2024 → 11/2024
    Jefferies Research Services Llc
    New York, NY
  • 07/2018 → 07/2022
    Usaf
    San Antonio, TX
  • 08/2022 → 02/2024
    Baruch Mba
    New York, NY
  • 08/2015 → 12/2017
    Suny Downstate
    Brooklyn, NY
  • 12/2017 → 07/2018
    Unemployed
    West Hempstead, NY
  • 07/2025 → 01/2026
    Valley Financial Management, Inc.
    New York, NY
  • 07/2025 → 01/2026
    Valley National Bank
    New York, NY
  • 11/2024 → 07/2025
    Unemployed
    New York, NY
  • 04/2026 → Present
    Williamsville, NY
Previous Registrations
Other Businesses

AGIA POSITION: Agent NATURE: non securities insurance products INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 04/13/2026 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: appointed as agent to sell non-securities insurance products for AGIA

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2024-02-22
S65 Uniform Investment Adviser Law Examination 2023-10-04
  • S63 Uniform Securities Agent State Law Examination
    2024-02-22
  • S65 Uniform Investment Adviser Law Examination
    2023-10-04
Other Names
  • Shaul Sprung

View on SEC IAPD

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