Valic Financial Advisors, Inc.
- Regulatory AUM
- $29.2B
- Discretionary
- $29.2B
- Clients
- 293,026
- Avg AUM / client
- $99.7K
- Accounts
- 293,026
- Employees
- 1,647
AUM over time
Annual snapshots from Form ADV filings · as of May 13, 2026
Asset allocation (SMA assets by investment type)
as of May 13, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 291,076 | $26.4B | 90.4% |
| High net worth individuals | 1,913 | $2.8B | 9.53% |
| Corporations and other businesses | 37 | $9.7M | 0.03% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Cambridge Healthcare 401(k) Profit Sharing Plan Cambridge Healthcare Holdings Llc | 2024 | |
| Cgr Products Inc. Employees' Profit Sharing Plan And Trust Cgr Products Inc. | 2024 |
People (1,288)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Burnette, Cynthia Lea | Chief Financial Officer And Treasurer | Jun 2013 (13y) | Less than 5% | |
| Cotton Hearne, Julie Ann | Secretary | Sep 2013 (13y) | Less than 5% | |
| Krista De Lois Gibson | President; Svp, Head Of Product & Advisory Services | Nov 2019 (7y) | Less than 5% | |
| Terwilliger, Joel Leslie | Vfa Chief Compliance Officer Investment Advisor | Jul 2020 (6y) | Less than 5% | |
| Rink, Veronica Lynette | Vice President, Business Administration | Dec 2021 (5y) | Less than 5% | |
| Logan, John Albert | Chief Operations Officer | Apr 2022 (4y) | Less than 5% | |
| Fortey, Michael | Vfa Chief Compliance Officer Broker Dealer | Feb 2023 (4y) | Less than 5% | |
| Marciel Carr, Theresa H | Vice President, Field Supervision | Oct 2024 (2y) | Less than 5% | |
| John David Kubs | Registered representative | Nov 1997 (29y) | ||
| Eli Paul Wolfson | Registered representative | CFP | Nov 1998 (28y) | |
| James Francis Hopler | Registered representative | CFP | Nov 1998 (28y) | |
| Allison S Hudson | Registered representative | Jan 1999 (28y) | ||
| Kent Herman Voges | Registered representative | Jan 1999 (28y) | ||
| Bartley Shawn Casey | Registered representative | CFP | Mar 1999 (27y) | |
| Jill Vanderkam | Registered representative | CFP | Mar 1999 (27y) | |
| Ralph Robert Robbins | Registered representative | May 1999 (27y) | ||
| David Melvin Allen | Registered representative | CFP | Apr 2000 (26y) | |
| Lewis Daniel Stamey | Registered representative | Apr 2000 (26y) | ||
| Donald Spencer Hartman | Registered representative | Aug 2000 (26y) | ||
| Paul Martin Fibbe | Registered representative | Sep 2000 (26y) | ||
| Kerri Marie Peterson | Registered representative | Sep 2000 (26y) | ||
| Michael John Madalena | Registered representative | Nov 2000 (26y) | ||
| Cary Scott Sheppard | Registered representative | Feb 2001 (25y) | ||
| Mark Charles Quenneville | Registered representative | CFP | Feb 2001 (25y) | |
| Steven Mark Bloom | Registered representative | Mar 2001 (25y) | ||
| John David Creech | Registered representative | Apr 2001 (25y) | ||
| Joel James Seckel | Registered representative | CFP Chartered Financial Consultant | Jun 2001 (25y) | |
| Martin Joseph Roesch | Registered representative | Jun 2001 (25y) | ||
| Michael Thomas Anderson | Registered representative | CFP | Jun 2001 (25y) | |
| Linda Diane Hall | Registered representative | CFP | Jul 2001 (25y) | |
| Douglas Scott Kyro | Registered representative | Aug 2001 (25y) | ||
| Kyle Rand Mirich | Registered representative | Sep 2001 (25y) | ||
| George Miles Rapp | Registered representative | Oct 2001 (25y) | ||
| John Kelly Fullen | Registered representative | Dec 2001 (25y) | ||
| Thomas Harold Mountain | Registered representative | Dec 2001 (25y) | ||
| Timothy Alan Towery | Registered representative | CFP | Dec 2001 (25y) | |
| Richard Edgar Hartney | Registered representative | Feb 2002 (24y) | ||
| Melissa Ann Mcconnell | Registered representative | Feb 2002 (24y) | ||
| Barton Lynn George | Registered representative | Mar 2002 (24y) | ||
| Thomas Blackwell West | Registered representative | Mar 2002 (24y) | ||
| Keith Alan Poch | Registered representative | Mar 2002 (24y) | ||
| Dane Lawrence Sincere | Registered representative | Apr 2002 (24y) | ||
| Aaron Paul Jackson | Registered representative | CFP | May 2002 (24y) | |
| Jennifer Jean Braun Blanco | Registered representative | May 2002 (24y) | ||
| Robert Alan Hyneman | Registered representative | CFP | May 2002 (24y) | |
| Barry Scot Brothers | Registered representative | CFP | May 2002 (24y) | |
| Kevin Roger Munnell | Registered representative | CFP | May 2002 (24y) | |
| Mark Maggio | Registered representative | Jun 2002 (24y) | ||
| Robert Churchill Briggs | Registered representative | Jun 2002 (24y) | ||
| Richard Paul Cinalli | Registered representative | Jun 2002 (24y) | ||
| Thomas David Haden | Registered representative | CFP | Jun 2002 (24y) | |
| Robert Joseph Walmsley | Registered representative | CFP | Jul 2002 (24y) | |
| Jeffrey Michael Bauer | Registered representative | CFP | Aug 2002 (24y) | |
| Tom Lee Rosenbaum | Registered representative | CFP | Aug 2002 (24y) | |
| Timothy Brian Briggs | Registered representative | Aug 2002 (24y) | ||
| Gregory Alan Kish | Registered representative | CFP | Sep 2002 (24y) | |
| Walter Allen Thomas | Registered representative | Sep 2002 (24y) | ||
| Brian Alan Watts | Registered representative | Oct 2002 (24y) | ||
| Rodney Dale Smith | Registered representative | CFP | Oct 2002 (24y) | |
| Tracy Lou Lampman | Registered representative | CFP | Oct 2002 (24y) | |
| Craig Anthony Silcox | Registered representative | Nov 2002 (24y) | ||
| Alvan Macauley Aron | Registered representative | CFP | Dec 2002 (24y) | |
| Jeffrey Neil Current | Registered representative | Dec 2002 (24y) | ||
| Michael John Schultz | Registered representative | Jan 2003 (24y) | ||
| Daniel Scott Knox | Registered representative | Jan 2003 (24y) | ||
| Jerry Lopez | Registered representative | Jan 2003 (24y) | ||
| Stephen Mark Rosseel | Registered representative | Jan 2003 (24y) | ||
| Paige Lynn Foster | Registered representative | Feb 2003 (23y) | ||
| Carlos Alberto Hernandez | Registered representative | CFP | Feb 2003 (23y) | |
| Leotha Thurman | Registered representative | Feb 2003 (23y) | ||
| Josephine Alice Crake | Registered representative | Mar 2003 (23y) | ||
| Nathan Eric Rogers | Registered representative | CFP | Mar 2003 (23y) | |
| Thomas Lynn Overcash | Registered representative | Mar 2003 (23y) | ||
| Keith Renauld Brewer | Registered representative | Mar 2003 (23y) | ||
| Sean Richard Deasy | Registered representative | CFP Chartered Financial Consultant | Mar 2003 (23y) | |
| Danny Nestorovski | Registered representative | Mar 2003 (23y) | ||
| Fred Newton Liles | Registered representative | Chartered Financial Consultant | Mar 2003 (23y) | |
| Stephen Simon Cameron | Registered representative | Mar 2003 (23y) | ||
| Clifford Nathaniel England | Registered representative | Mar 2003 (23y) | ||
| John Holt Russell | Registered representative | Mar 2003 (23y) | ||
| Richard Kelly Lane | Registered representative | Mar 2003 (23y) | ||
| Stephen Fisher Komisar | Registered representative | Mar 2003 (23y) | ||
| Suzanne Arlene Komisar | Registered representative | Mar 2003 (23y) | ||
| Wenyi Wei | Registered representative | Mar 2003 (23y) | ||
| Lowell Randall Russell | Registered representative | CFP | Apr 2003 (23y) | |
| Eric Raymond Swierski | Registered representative | Apr 2003 (23y) | ||
| Keith Alan Heckman | Registered representative | CFP | Apr 2003 (23y) | |
| Clifford Mcelrath Stewart | Registered representative | Apr 2003 (23y) | ||
| Troy Lincoln Webb | Registered representative | Apr 2003 (23y) | ||
| Trent Olean Schloneger | Registered representative | CFP | Apr 2003 (23y) | |
| Arthur Steve Leo | Registered representative | Apr 2003 (23y) | ||
| Deborah Swift Smith | Registered representative | Apr 2003 (23y) | ||
| Christine Mahefkey Bone | Registered representative | May 2003 (23y) | ||
| Shirley Cynthia Haynes | Registered representative | May 2003 (23y) | ||
| Terrell Lynn Akins | Registered representative | May 2003 (23y) | ||
| Joseph Charles Diamond | Registered representative | CFP | May 2003 (23y) | |
| Christy Lynn Mccarthy | Registered representative | Jun 2003 (23y) | ||
| Mark Andrew Taylor | Registered representative | Jun 2003 (23y) | ||
| Michael Lee Brown | Registered representative | Jun 2003 (23y) | ||
| Ross Floyd Douglas | Registered representative | Jul 2003 (23y) | ||
| David Coleman Mills | Registered representative | Jul 2003 (23y) | ||
| Dennis Michael Giroir | Registered representative | Jul 2003 (23y) | ||
| Sheila Williams Bendall | Registered representative | Jul 2003 (23y) | ||
| Stephen James Gaubert | Registered representative | Jul 2003 (23y) | ||
| Sean Nathaniel Lankard | Registered representative | CFP Chartered Financial Consultant | Jul 2003 (23y) | |
| Cassondra Lynn Johnson | Registered representative | CFP Chartered Financial Consultant | Jul 2003 (23y) | |
| Brenton Lennis Fields | Registered representative | Jul 2003 (23y) | ||
| James Douglas Musengo | Registered representative | CFP | Jul 2003 (23y) | |
| Julie Mcgehee Honeycutt | Registered representative | Jul 2003 (23y) | ||
| Jason Martin Bontrager | Registered representative | Aug 2003 (23y) | ||
| Adam Trevor Bunday | Registered representative | Sep 2003 (23y) | ||
| Gregory Edison Pinkard | Registered representative | Sep 2003 (23y) | ||
| Maclynn Scott Zebrun | Registered representative | Sep 2003 (23y) | ||
| Sheri Lynn Barron | Registered representative | Sep 2003 (23y) | ||
| Brian Lloyd Ledbetter | Registered representative | Oct 2003 (23y) | ||
| Joe Joseph Macaluso | Registered representative | Oct 2003 (23y) | ||
| Fred Leo Brandenburg | Registered representative | Oct 2003 (23y) | ||
| Peter Mercado Serra | Registered representative | Nov 2003 (23y) | ||
| Steven John Honeyfield | Registered representative | Nov 2003 (23y) | ||
| Steven Ray Magidson | Registered representative | Nov 2003 (23y) | ||
| Stephen Raymond Davis | Registered representative | Nov 2003 (23y) | ||
| Elton Sigrest Thomas | Registered representative | CFP | Nov 2003 (23y) | |
| Otis Robert Thames | Registered representative | Nov 2003 (23y) | ||
| Jacquelyn Bletzacker | Registered representative | Dec 2003 (23y) | ||
| Robert Shawn Purvis | Registered representative | Dec 2003 (23y) | ||
| Julio Cesar Sarmiento | Registered representative | Dec 2003 (23y) | ||
| Thomas Watkins Davis | Registered representative | Dec 2003 (23y) | ||
| James Barton Peters | Registered representative | Dec 2003 (23y) | ||
| Daniel Everette Jobe | Registered representative | CFP | Jan 2004 (23y) | |
| Matthew B. Roberts | Registered representative | Jan 2004 (23y) | ||
| John Andrew Davidson | Registered representative | Jan 2004 (23y) | ||
| Nahed Anani Alsous | Registered representative | Jan 2004 (23y) | ||
| Susan Wheeler Gloe | Registered representative | Jan 2004 (23y) | ||
| Chris Dela Rosa Lantin | Registered representative | Feb 2004 (22y) | ||
| John Sung Lee | Registered representative | Feb 2004 (22y) | ||
| David Stewart Lane Weir | Registered representative | Feb 2004 (22y) | ||
| Jeffrey Alan Cleek | Registered representative | Feb 2004 (22y) | ||
| Judith Darlene Wildes | Registered representative | Mar 2004 (22y) | ||
| David Benjamin Dobin | Registered representative | CFP | Mar 2004 (22y) | |
| Janice Marie Buchanan | Registered representative | Mar 2004 (22y) | ||
| Donald Zabak | Registered representative | Mar 2004 (22y) | ||
| Robert Mitchell Elster | Registered representative | Mar 2004 (22y) | ||
| Thomas Lee Norris | Registered representative | Mar 2004 (22y) | ||
| Bryan Scott Hoffman | Registered representative | Mar 2004 (22y) | ||
| Daniel Vincent Cook | Registered representative | CFP | Apr 2004 (22y) | |
| James Caldwell Lambert | Registered representative | Apr 2004 (22y) | ||
| Matthew John Rose | Registered representative | Apr 2004 (22y) | ||
| Jermaine Montre Taylor | Registered representative | Apr 2004 (22y) | ||
| Mark David Nachimson | Registered representative | CFP | May 2004 (22y) | |
| Michael Joseph Kaiser | Registered representative | May 2004 (22y) | ||
| Ryan Jeffery Amos | Registered representative | May 2004 (22y) | ||
| Michael Lawrence Grofsick | Registered representative | May 2004 (22y) | ||
| Roxanne Jenet Watkins | Registered representative | May 2004 (22y) | ||
| Penelope Payne Spees | Registered representative | CFP | May 2004 (22y) | |
| Andrew Lars Jerdal | Registered representative | Jun 2004 (22y) | ||
| Gilbert Allen Evers | Registered representative | Jun 2004 (22y) | ||
| Kelly Joanne Torresin | Registered representative | Jun 2004 (22y) | ||
| Gary Don Martin | Registered representative | Jun 2004 (22y) | ||
| Timothy Perry Lense | Registered representative | Jul 2004 (22y) | ||
| John Fouche Brownlow | Registered representative | Jul 2004 (22y) | ||
| David Rhea Helgeson | Registered representative | Aug 2004 (22y) | ||
| Alan Andrew Martin | Registered representative | Sep 2004 (22y) | ||
| Thomas Augustine Heidt | Registered representative | Sep 2004 (22y) | ||
| Joseph Mathias Kleine Kracht | Registered representative | Sep 2004 (22y) | ||
| Daniel Drabkin | Registered representative | Sep 2004 (22y) | ||
| John Lee French | Registered representative | CFP Chartered Financial Consultant | Oct 2004 (22y) | |
| Kristina Lynne Salvato | Registered representative | Oct 2004 (22y) | ||
| Paul A. Mariconda | Registered representative | Oct 2004 (22y) | ||
| Geoffrey Michael Akers | Registered representative | Oct 2004 (22y) | ||
| Ryan Curtis Wehr | Registered representative | Jan 2005 (22y) | ||
| Todd Michael Gutman | Registered representative | Jan 2005 (22y) | ||
| Russell Scott Kneisley | Registered representative | Jan 2005 (22y) | ||
| Thomas Earl Mcclendon | Registered representative | Apr 2005 (21y) | ||
| Alexander Gracia | Registered representative | CFP Chartered Financial Consultant | May 2005 (21y) | |
| Stephen John Oostema | Registered representative | May 2005 (21y) | ||
| William Kevin Hanner | Registered representative | May 2005 (21y) | ||
| Robert Peter Gorski | Registered representative | Jul 2005 (21y) | ||
| Jane Catherine Silcox | Registered representative | Aug 2005 (21y) | ||
| Brian Glen Olsen | Registered representative | Oct 2005 (21y) | ||
| Johnny R Johnston | Registered representative | Nov 2005 (21y) | ||
| Monte Patrick Woodfin | Registered representative | CFP | Nov 2005 (21y) | |
| John Milton Newton | Registered representative | Dec 2005 (21y) | ||
| Jonathan Lee Hope | Registered representative | Jan 2006 (21y) | ||
| David Drew Dassell | Registered representative | Mar 2006 (20y) | ||
| John Marshall Lamberth | Registered representative | Mar 2006 (20y) | ||
| Armando Vazquez | Registered representative | Mar 2006 (20y) | ||
| James Jeffrey Contino | Registered representative | CFP | May 2006 (20y) | |
| Emily Sharon Spych | Registered representative | May 2006 (20y) | ||
| Lawrence Dominic Perez | Registered representative | Jun 2006 (20y) | ||
| Roland Dennis Szilard | Registered representative | Jun 2006 (20y) | ||
| Vincent Patrick Guy | Registered representative | Jun 2006 (20y) | ||
| Tim Alan Mcdonald | Registered representative | Jul 2006 (20y) | ||
| Douglas W Bridges | Registered representative | CFP | Jul 2006 (20y) | |
| David Dean Jones | Registered representative | CFP | Aug 2006 (20y) | |
| Josh William Yankowsky | Registered representative | Aug 2006 (20y) | ||
| Kathy Leanne Rosado | Registered representative | Sep 2006 (20y) | ||
| Elliot Carson Lewis | Registered representative | Oct 2006 (20y) | ||
| John William Nieradzik | Registered representative | CFP | Oct 2006 (20y) | |
| Mindy Mire Lewis | Registered representative | Nov 2006 (20y) | ||
| David Wayne Dupont | Registered representative | Nov 2006 (20y) | ||
| Kathleen M Fitts | Registered representative | Nov 2006 (20y) | ||
| Brian Daniel Bain | Registered representative | Dec 2006 (20y) | ||
| Thomas Clayton Peterson | Registered representative | Dec 2006 (20y) | ||
| Marissa Rae Kerns | Registered representative | Jan 2007 (20y) | ||
| Nicholas Allen Neff | Registered representative | Feb 2007 (19y) | ||
| Vincent Brian Lamarca | Registered representative | Mar 2007 (19y) | ||
| William Cody Gilbert | Registered representative | Mar 2007 (19y) | ||
| Nicholas Ray Powell | Registered representative | CFP | Mar 2007 (19y) | |
| Patricia Ann Wasp | Registered representative | CFP | Mar 2007 (19y) | |
| Donald Michael Goldstein | Registered representative | Apr 2007 (19y) | ||
| Thomas Patrick Dennig | Registered representative | May 2007 (19y) | ||
| Brian Douglas Schmitt | Registered representative | May 2007 (19y) | ||
| Regina Lynn Davis | Registered representative | Jun 2007 (19y) | ||
| Kevin Arthur Konkal | Registered representative | Jun 2007 (19y) | ||
| Todd Michael Chamelin | Registered representative | Jun 2007 (19y) | ||
| Gregg Alan Hudak | Registered representative | Jul 2007 (19y) | ||
| Michael Brandon Sheffler | Registered representative | Jul 2007 (19y) | ||
| Kenneth Jon Kemp | Registered representative | Jul 2007 (19y) | ||
| Gary Michael Bridwell | Registered representative | Jul 2007 (19y) | ||
| Jan Arild Nilsen | Registered representative | Aug 2007 (19y) | ||
| Todd Alan Bieberich | Registered representative | CFP | Sep 2007 (19y) | |
| Marc Alan Phillips | Registered representative | Sep 2007 (19y) | ||
| John Anthony Soika | Registered representative | Oct 2007 (19y) | ||
| Darryl Augustine Lindsey | Registered representative | Oct 2007 (19y) | ||
| Michael Henry Beuttel | Registered representative | Oct 2007 (19y) | ||
| Paul Mark Pitkins | Registered representative | Oct 2007 (19y) | ||
| Scott Edward Gilman | Registered representative | Oct 2007 (19y) | ||
| Edward Mark Silberman | Registered representative | Nov 2007 (19y) | ||
| Robert Eugene Buchanan | Registered representative | Nov 2007 (19y) | ||
| Maria Deysher | Registered representative | Nov 2007 (19y) | ||
| Jonathan Vellenzer Narbett | Registered representative | Nov 2007 (19y) | ||
| James Daniel Larkin | Registered representative | Jan 2008 (19y) | ||
| Scott Lamar Hall | Registered representative | CFP | Jan 2008 (19y) | |
| James Ryan Swindell | Registered representative | Jan 2008 (19y) | ||
| Thomas James Chambers | Registered representative | Feb 2008 (18y) | ||
| Robert Joseph Petrillo | Registered representative | Mar 2008 (18y) | ||
| Daniel Alain Sier | Registered representative | Mar 2008 (18y) | ||
| Mitchell Roderick Tabor | Registered representative | Mar 2008 (18y) | ||
| Gregory A Miller | Registered representative | Mar 2008 (18y) | ||
| Tara Claudine Prindible | Registered representative | Mar 2008 (18y) | ||
| Brandon David Shaughnessy | Registered representative | May 2008 (18y) | ||
| Ryan Holton Brown | Registered representative | May 2008 (18y) | ||
| Brian Cameron Little | Registered representative | CFP | May 2008 (18y) | |
| Daniel James Tomas | Registered representative | CFP Chartered Financial Consultant | May 2008 (18y) | |
| Gregory Allen Meador | Registered representative | Jul 2008 (18y) | ||
| Crowyns Crawford Thervil | Registered representative | Jul 2008 (18y) | ||
| William Brian Alvarez | Registered representative | Aug 2008 (18y) | ||
| David M. Michaux | Registered representative | CFP | Sep 2008 (18y) | |
| Constance Maria Butler | Registered representative | Sep 2008 (18y) | ||
| Thomas Newton Smith | Registered representative | Oct 2008 (18y) | ||
| Pamela L Hughes | Registered representative | Oct 2008 (18y) | ||
| Sybilla C Koch | Registered representative | Oct 2008 (18y) | ||
| Nicole Cott Ross | Registered representative | CFP | Nov 2008 (18y) | |
| Cecil Waine Skinner | Registered representative | Dec 2008 (18y) | ||
| Robert James Hoffer | Registered representative | Feb 2009 (17y) | ||
| Stephanie Jean Bunday | Registered representative | Chartered Financial Consultant | Feb 2009 (17y) | |
| Chad A Tsounis | Registered representative | Mar 2009 (17y) | ||
| Brian Crane Elliott | Registered representative | CFP | Apr 2009 (17y) | |
| Kenneth Lee Knopf | Registered representative | CFP | Apr 2009 (17y) | |
| Peter Garzelloni | Registered representative | CFP | May 2009 (17y) | |
| Gregory Scott Daniel | Registered representative | CFP CFA | May 2009 (17y) | |
| Rollie Brian Roberts | Registered representative | Jun 2009 (17y) | ||
| Rachel Espiloy Baroma | Registered representative | Oct 2009 (17y) | ||
| Harry John Rutter | Registered representative | Oct 2009 (17y) | ||
| Kevin Gerard Mullins | Registered representative | Oct 2009 (17y) | ||
| Christopher Craig Logan | Registered representative | Oct 2009 (17y) | ||
| Shane Steven Hurst | Registered representative | Nov 2009 (17y) | ||
| Donald E Odendahl | Registered representative | Nov 2009 (17y) | ||
| David Scott Barnes | Registered representative | Dec 2009 (17y) | ||
| Richard Vincent Silva | Registered representative | Jan 2010 (17y) | ||
| Richard F. Disberger | Registered representative | Feb 2010 (16y) | ||
| Janice Patrice Heinz | Registered representative | Feb 2010 (16y) | ||
| Ronald Lee Philbrick | Registered representative | Mar 2010 (16y) | ||
| Steven T Jarvis | Registered representative | Mar 2010 (16y) | ||
| Vernon Joseph Klassen | Registered representative | CFP Chartered Financial Consultant | Apr 2010 (16y) | |
| Drew Masao Tamaki | Registered representative | Apr 2010 (16y) | ||
| Tomas Maldonado Ortiz | Registered representative | Apr 2010 (16y) | ||
| Jeffrey Alan Hofmann | Registered representative | May 2010 (16y) | ||
| Michael Allen Bartlow | Registered representative | May 2010 (16y) | ||
| Nicholas Grant Dunckle | Registered representative | May 2010 (16y) | ||
| Michael Joseph Detone | Registered representative | CFP | May 2010 (16y) | |
| John Fitzgerald Gray | Registered representative | May 2010 (16y) | ||
| Kevin Mitchell Feuer | Registered representative | May 2010 (16y) | ||
| Jonathan Wesley Roberts | Registered representative | CFP | Jun 2010 (16y) | |
| David Ray Laroque | Registered representative | Jun 2010 (16y) | ||
| Richard Farrel Coates | Registered representative | Jun 2010 (16y) | ||
| Peter Andrew Rivoir | Registered representative | Jun 2010 (16y) | ||
| Craig William Nikischer | Registered representative | Jul 2010 (16y) | ||
| Collins Rolapp Jones | Registered representative | Jul 2010 (16y) | ||
| Michael James Norris | Registered representative | Jul 2010 (16y) | ||
| Darla Mae Haines Mills | Registered representative | Jul 2010 (16y) | ||
| George J Vellaringattu | Registered representative | Jul 2010 (16y) | ||
| Gamaliel Michaud | Registered representative | Jul 2010 (16y) | ||
| Alexander H Yates | Registered representative | Jul 2010 (16y) | ||
| Howard Frederick Meyers | Registered representative | Personal Financial Specialist | Jul 2010 (16y) | |
| Luis H Navarro | Registered representative | Aug 2010 (16y) | ||
| Norman Scot Dubuisson | Registered representative | Aug 2010 (16y) | ||
| Ryan Charles Cook | Registered representative | CFP Chartered Financial Consultant | Aug 2010 (16y) | |
| Bryan David Klemm | Registered representative | Aug 2010 (16y) | ||
| Gregory C Speier | Registered representative | Sep 2010 (16y) | ||
| Peter Charles Lupone | Registered representative | CFP | Sep 2010 (16y) | |
| Jayson W Wagner | Registered representative | Sep 2010 (16y) | ||
| Robert William Toth | Registered representative | Sep 2010 (16y) | ||
| Joliet K Osborne | Registered representative | CFP | Sep 2010 (16y) | |
| Katherine Neblett Waller | Registered representative | Oct 2010 (16y) | ||
| Cheri Patterson Coleman | Registered representative | Oct 2010 (16y) | ||
| Carolyn Rae Kaminski | Registered representative | Oct 2010 (16y) | ||
| Jennifer Jamerson | Registered representative | CFP Chartered Financial Consultant | Oct 2010 (16y) | |
| John Michael Hellgren | Registered representative | Nov 2010 (16y) | ||
| Lawrence John Steele | Registered representative | Dec 2010 (16y) | ||
| Mark A Bondi | Registered representative | CFP | Dec 2010 (16y) | |
| Darin Emo Leeman | Registered representative | CFP Chartered Financial Consultant | Dec 2010 (16y) | |
| Carnell Anthony Freeman | Registered representative | Dec 2010 (16y) | ||
| Jennifer Ann Garza | Registered representative | Feb 2011 (15y) | ||
| Emily A Fortson | Registered representative | Feb 2011 (15y) | ||
| David Robinson Kornegay | Registered representative | CFP | Mar 2011 (15y) | |
| Tracey C Kealy | Registered representative | Mar 2011 (15y) | ||
| William Nichols Saylor | Registered representative | Mar 2011 (15y) | ||
| Daniel David Silva | Registered representative | Mar 2011 (15y) | ||
| Joseph S Harsel | Registered representative | CFP | Apr 2011 (15y) | |
| Weslie R Hollas | Registered representative | May 2011 (15y) | ||
| William George Williams | Registered representative | Jun 2011 (15y) | ||
| William Scott Corelle | Registered representative | Jun 2011 (15y) | ||
| Laura Marie Gorton | Registered representative | Jun 2011 (15y) | ||
| Paul Francis Downs | Registered representative | Jun 2011 (15y) | ||
| Kristen Noell Rose | Registered representative | Jul 2011 (15y) | ||
| Nestor Barrera | Registered representative | Aug 2011 (15y) | ||
| Jeffrey John Mctiernan | Registered representative | Aug 2011 (15y) | ||
| Timothy Lawrence Murphy | Registered representative | Aug 2011 (15y) | ||
| Sean Placido Rodriguez | Registered representative | Aug 2011 (15y) | ||
| Vivian Rene Houghland | Registered representative | Aug 2011 (15y) | ||
| Kenneth Albert Johantges | Registered representative | Aug 2011 (15y) | ||
| Carrie W Cummings | Registered representative | Aug 2011 (15y) | ||
| Marc Zola Kleiman | Registered representative | Aug 2011 (15y) | ||
| Scott Robert Pullen | Registered representative | Aug 2011 (15y) | ||
| Marvin Dat Ay Baysa | Registered representative | Sep 2011 (15y) | ||
| Timothy John Schossow | Registered representative | CFP | Oct 2011 (15y) | |
| Lucas R Perkins | Registered representative | CFP | Oct 2011 (15y) | |
| Amy Melissa Greth | Registered representative | Nov 2011 (15y) | ||
| Ryan B Radloff | Registered representative | Nov 2011 (15y) | ||
| Amber Austin Cornwell | Registered representative | CFP | Dec 2011 (15y) | |
| James Erich Kaufmann | Registered representative | Dec 2011 (15y) | ||
| David E Quast | Registered representative | CFP Chartered Financial Consultant | Dec 2011 (15y) | |
| Paul A Storm | Registered representative | CFP | Dec 2011 (15y) | |
| John A Schultz | Registered representative | Jan 2012 (15y) | ||
| Mark Francis Roberts | Registered representative | Jan 2012 (15y) | ||
| Amber N Morris | Registered representative | Jan 2012 (15y) | ||
| Stephen M Albinson | Registered representative | Feb 2012 (14y) | ||
| Melissa Shellhammer Aiken | Registered representative | Feb 2012 (14y) | ||
| Kory Allan Johnson | Registered representative | Feb 2012 (14y) | ||
| Ben R Merchant | Registered representative | Mar 2012 (14y) | ||
| Jeffery D Phillips | Registered representative | Mar 2012 (14y) | ||
| David Jonathan Cockeram | Registered representative | Mar 2012 (14y) | ||
| Erin Marie Garmon | Registered representative | CFP | Mar 2012 (14y) | |
| William Joseph Gallegos | Registered representative | Apr 2012 (14y) | ||
| Luther Dollard Mccollister | Registered representative | CFP | Apr 2012 (14y) | |
| Michael Andrew Waverka | Registered representative | May 2012 (14y) | ||
| Lauren Imperiale Johnson | Registered representative | May 2012 (14y) | ||
| Christopher T Talbot | Registered representative | Jun 2012 (14y) | ||
| Justin Richard Olewnik | Registered representative | Jun 2012 (14y) | ||
| Nathan Siegal | Registered representative | CFP | Jun 2012 (14y) | |
| Crystal Nellie Avant | Registered representative | Jul 2012 (14y) | ||
| Lee Roy Cox | Registered representative | CFP | Jul 2012 (14y) | |
| Steven Wayne Hull | Registered representative | Jul 2012 (14y) | ||
| Cassandra Shawn Anderson | Registered representative | CFP CFA | Aug 2012 (14y) | |
| Bryan D Ball | Registered representative | Aug 2012 (14y) | ||
| Jeanne Ellen Lowe | Registered representative | Aug 2012 (14y) | ||
| Michael David Wright | Registered representative | Sep 2012 (14y) | ||
| Danielle M. Baran | Registered representative | Sep 2012 (14y) | ||
| Douglas Newel Burnett | Registered representative | Oct 2012 (14y) | ||
| Christine Wai Zhong | Registered representative | Oct 2012 (14y) | ||
| Felix F Barraza | Registered representative | CFP | Oct 2012 (14y) | |
| William Tyler Walsh | Registered representative | Nov 2012 (14y) | ||
| Nicholas Jay Grove | Registered representative | Nov 2012 (14y) | ||
| Cecile Minh Nguyen | Registered representative | Dec 2012 (14y) | ||
| Matthew Allen Ticknor | Registered representative | Feb 2013 (13y) | ||
| Rance Kevin Morgan | Registered representative | Feb 2013 (13y) | ||
| Elaine Michelle Roberts | Registered representative | Mar 2013 (13y) | ||
| Clinton Augustine Legeyt | Registered representative | Mar 2013 (13y) | ||
| Catherine Evelyn St. Dizier | Registered representative | Mar 2013 (13y) | ||
| William Jackson Sullivan | Registered representative | Mar 2013 (13y) | ||
| Elizabeth Anne Newman | Registered representative | May 2013 (13y) | ||
| Joyce Lynn Krinsky | Registered representative | May 2013 (13y) | ||
| Justin Ozeroff | Registered representative | Jun 2013 (13y) | ||
| Pearl Ellen Graham | Registered representative | Jun 2013 (13y) | ||
| Renee Lynn Coil | Registered representative | Jun 2013 (13y) | ||
| Scott Michael Viera | Registered representative | Jun 2013 (13y) | ||
| Russell W Pendleton | Registered representative | Jun 2013 (13y) | ||
| Matthew Clark Rawlins | Registered representative | Jul 2013 (13y) | ||
| Lisa M Crawford | Registered representative | Aug 2013 (13y) | ||
| Andres Velasquez | Registered representative | Aug 2013 (13y) | ||
| Kristine Engel Worden | Registered representative | Aug 2013 (13y) | ||
| Robert Byron Trudo | Registered representative | Sep 2013 (13y) | ||
| Thomas J Lynch | Registered representative | Sep 2013 (13y) | ||
| William Ronald Gecks | Registered representative | Sep 2013 (13y) | ||
| David William Dykstra | Registered representative | Sep 2013 (13y) | ||
| Ava Rowena Overman | Registered representative | Sep 2013 (13y) | ||
| William Joseph Stricklin | Registered representative | Sep 2013 (13y) | ||
| Benjamin Christopher Blakelock | Registered representative | Sep 2013 (13y) | ||
| Diana Anne Carney | Registered representative | Nov 2013 (13y) | ||
| Michael Grant Randolph | Registered representative | Chartered Financial Consultant | Nov 2013 (13y) | |
| William Hilton Burke | Registered representative | Dec 2013 (13y) | ||
| Nicolas Bazarevitsch | Registered representative | Dec 2013 (13y) | ||
| Charles Stephen Capozzoli | Registered representative | CFP | Jan 2014 (13y) | |
| David Scott Koller | Registered representative | Jan 2014 (13y) | ||
| Shea James Murphy | Registered representative | Jan 2014 (13y) | ||
| Cameron Lynn Strobel | Registered representative | Jan 2014 (13y) | ||
| Daniel R Biggers | Registered representative | Feb 2014 (12y) | ||
| Brent Arnold Moeller | Registered representative | Feb 2014 (12y) | ||
| Shawn Eric Barnum | Registered representative | Mar 2014 (12y) | ||
| Belete Alemu | Registered representative | Mar 2014 (12y) | ||
| Aleksandr Segalchik | Registered representative | Mar 2014 (12y) | ||
| Terry Albert Pasquale | Registered representative | Mar 2014 (12y) | ||
| Holly R. Salazar | Registered representative | Apr 2014 (12y) | ||
| Baz Nissan | Registered representative | Apr 2014 (12y) | ||
| Bridgette C Ziolkowski | Registered representative | Apr 2014 (12y) | ||
| Loren Lamont Francis Harris | Registered representative | Apr 2014 (12y) | ||
| James Llewellyn Story | Registered representative | Apr 2014 (12y) | ||
| Candida Ruth Langsdale | Registered representative | May 2014 (12y) | ||
| Eric Justin Swearingen | Registered representative | May 2014 (12y) | ||
| Kim Baughman Short | Registered representative | Jun 2014 (12y) | ||
| Keith Allan Eason | Registered representative | CFP | Jun 2014 (12y) | |
| Gary Wayne Yarnall | Registered representative | Jun 2014 (12y) | ||
| Nathan S Embry | Registered representative | Jun 2014 (12y) | ||
| Izuka Wilfred Nwuli | Registered representative | Jul 2014 (12y) | ||
| Marilyn Elaine Osborne | Registered representative | Jul 2014 (12y) | ||
| Joshua Dale Nokes | Registered representative | Jul 2014 (12y) | ||
| Shannon T. Blair | Registered representative | Jul 2014 (12y) | ||
| Jillian Marjean Bell | Registered representative | Jul 2014 (12y) | ||
| Andrew Bryant Meinbresse | Registered representative | Jul 2014 (12y) | ||
| Henry Abraham Falquez | Registered representative | Jul 2014 (12y) | ||
| Garrett Joseph Gowan | Registered representative | Aug 2014 (12y) | ||
| Scott Edward Burman | Registered representative | Aug 2014 (12y) | ||
| Jay Jackson Logwood | Registered representative | Sep 2014 (12y) | ||
| Corey Lynn Overcash | Registered representative | CFP Chartered Financial Consultant | Sep 2014 (12y) | |
| Constantinos Solon Parlas | Registered representative | Sep 2014 (12y) | ||
| Logan Paul Grossman | Registered representative | CFP | Sep 2014 (12y) | |
| Nicholas Winn Eoff | Registered representative | Sep 2014 (12y) | ||
| Richard Caldwell Lambert | Registered representative | Sep 2014 (12y) | ||
| Jeremiah Rockefeller Buden | Registered representative | CFP Chartered Financial Consultant | Sep 2014 (12y) | |
| Omari Simpson | Registered representative | Oct 2014 (12y) | ||
| Michael A Kreger | Registered representative | CFP | Oct 2014 (12y) | |
| Scott Mitchell Boyd | Registered representative | Oct 2014 (12y) | ||
| Jimmy Nicolas Valle | Registered representative | CFP | Nov 2014 (12y) | |
| Russell Warren Broad | Registered representative | Nov 2014 (12y) | ||
| Fernando Aguirre De La Rosa | Registered representative | Jan 2015 (12y) | ||
| Austin Robert Bell | Registered representative | Jan 2015 (12y) | ||
| Brian Jeffrey Wolf | Registered representative | Jan 2015 (12y) | ||
| Julie Lynn Copelan | Registered representative | Jan 2015 (12y) | ||
| Anita E Atencio | Registered representative | Jan 2015 (12y) | ||
| John C. English | Registered representative | Feb 2015 (11y) | ||
| William Ross Jolly | Registered representative | CFP | Feb 2015 (11y) | |
| Lana B Stanford | Registered representative | Feb 2015 (11y) | ||
| Philip Bruce Spear | Registered representative | Mar 2015 (11y) | ||
| Gary G Thrasher | Registered representative | Mar 2015 (11y) | ||
| David Jared Oulvey | Registered representative | Mar 2015 (11y) | ||
| Laura Dugas Golubev | Registered representative | Mar 2015 (11y) | ||
| Daniel Edmund Lex | Registered representative | Apr 2015 (11y) | ||
| Kyle M Paterson | Registered representative | Apr 2015 (11y) | ||
| Justin Fornie Copp | Registered representative | Apr 2015 (11y) | ||
| Amanda Sue Voorhees | Registered representative | Apr 2015 (11y) | ||
| Scott Alan Meinert | Registered representative | May 2015 (11y) | ||
| Hayden Orr | Registered representative | May 2015 (11y) | ||
| Kiley Chantae Lukens Clagg | Registered representative | May 2015 (11y) | ||
| Ryan Tyler Carson | Registered representative | May 2015 (11y) | ||
| Timothy Neil Hewitt | Registered representative | Jun 2015 (11y) | ||
| Gregory David Reo | Registered representative | Jul 2015 (11y) | ||
| Bradley David Easom | Registered representative | Jul 2015 (11y) | ||
| Scott E Hirsch | Registered representative | Jul 2015 (11y) | ||
| Tony Tringali | Registered representative | Aug 2015 (11y) | ||
| Marie Asheley Cane | Registered representative | Aug 2015 (11y) | ||
| Kim Louise Moore | Registered representative | Aug 2015 (11y) | ||
| Brian Wayne Orner | Registered representative | Aug 2015 (11y) | ||
| Kimberly Shannon Wilder | Registered representative | Aug 2015 (11y) | ||
| Dana Luanne Smith | Registered representative | CFP | Aug 2015 (11y) | |
| Joseph Anthony Okraski | Registered representative | Sep 2015 (11y) | ||
| Benjamin Joseph Bowman | Registered representative | CFP | Sep 2015 (11y) | |
| Clinton Hyland | Registered representative | Sep 2015 (11y) | ||
| Bradley Davis | Registered representative | Sep 2015 (11y) | ||
| Collin Tyler Cook | Registered representative | CFP | Sep 2015 (11y) | |
| Chase Alexander Kulczak | Registered representative | Sep 2015 (11y) | ||
| Maryann L Sciara | Registered representative | Oct 2015 (11y) | ||
| Ramona Bernadette Dalton | Registered representative | Oct 2015 (11y) | ||
| Matthew Alan Kardos | Registered representative | Oct 2015 (11y) | ||
| John Lancaster Quinn | Registered representative | Oct 2015 (11y) | ||
| Cail Huntington Brown | Registered representative | Oct 2015 (11y) | ||
| Jason Michael Hennington | Registered representative | Nov 2015 (11y) | ||
| Cesar Jesus Caram | Registered representative | Nov 2015 (11y) | ||
| Nelson Clay Green | Registered representative | Nov 2015 (11y) | ||
| Bayar Abdurrehman Hamid | Registered representative | Dec 2015 (11y) | ||
| Christian Daniel Martinez | Registered representative | Dec 2015 (11y) | ||
| Angela Patricia Folit | Registered representative | Dec 2015 (11y) | ||
| Nicholas Steven Shane | Registered representative | Dec 2015 (11y) | ||
| James Guy Ferguson | Registered representative | Dec 2015 (11y) | ||
| Garfield Anthony Davidson | Registered representative | Dec 2015 (11y) | ||
| Kevin Matthew Landen | Registered representative | Dec 2015 (11y) | ||
| John Henry Roethle | Registered representative | Dec 2015 (11y) | ||
| Thomas D Russo | Registered representative | Jan 2016 (11y) | ||
| Ryan G Schofield | Registered representative | Jan 2016 (11y) | ||
| Craig Alan Storm | Registered representative | Jan 2016 (11y) | ||
| Jonathan P Costanza | Registered representative | Jan 2016 (11y) | ||
| Kristin Renee Cruz | Registered representative | Feb 2016 (10y) | ||
| Fernando De La Rosa | Registered representative | Mar 2016 (10y) | ||
| Chad Michael Amos | Registered representative | Mar 2016 (10y) | ||
| Hector G Anaya | Registered representative | Mar 2016 (10y) | ||
| Elke De La Cruz | Registered representative | Mar 2016 (10y) | ||
| Erik Owen Jensen | Registered representative | Mar 2016 (10y) | ||
| Terance Raymond Helland | Registered representative | Mar 2016 (10y) | ||
| Norman C Merlet | Registered representative | Apr 2016 (10y) | ||
| Brian Wayne Stevens | Registered representative | Apr 2016 (10y) | ||
| Michael John Smith | Registered representative | Apr 2016 (10y) | ||
| Shaun M Heale | Registered representative | Apr 2016 (10y) | ||
| Xavier Granja | Registered representative | Apr 2016 (10y) | ||
| Joshua Adam Wheat | Registered representative | Apr 2016 (10y) | ||
| Lee W Lakey | Registered representative | Apr 2016 (10y) | ||
| Barbara Joan Bauer | Registered representative | May 2016 (10y) | ||
| Christopher J Young | Registered representative | Jun 2016 (10y) | ||
| Joshua J Maida | Registered representative | Jun 2016 (10y) | ||
| Michael Asnis | Registered representative | Jun 2016 (10y) | ||
| Christopher T Clark | Registered representative | Jun 2016 (10y) | ||
| Daniel Glenn Caldwell | Registered representative | Jun 2016 (10y) | ||
| Dana Frank Endres | Registered representative | Jul 2016 (10y) | ||
| Daniel John Nowak | Registered representative | Jul 2016 (10y) | ||
| Sean Brenden Calleja | Registered representative | Jul 2016 (10y) | ||
| Joshua John Daniel Penner | Registered representative | Jul 2016 (10y) | ||
| Joshua Baird | Registered representative | Jul 2016 (10y) | ||
| David William Conlin | Registered representative | Aug 2016 (10y) | ||
| Georgi S Bivolarski | Registered representative | CFP | Aug 2016 (10y) | |
| Michael Thomas Sausley | Registered representative | CFP | Aug 2016 (10y) | |
| Robert Alan Browning | Registered representative | Aug 2016 (10y) | ||
| Kong Seng Bun | Registered representative | Sep 2016 (10y) | ||
| Brandee Lusch | Registered representative | Sep 2016 (10y) | ||
| Timothy Scott Collins | Registered representative | Sep 2016 (10y) | ||
| Ellen M Raflowski | Registered representative | Oct 2016 (10y) | ||
| Todd M Bornholtz | Registered representative | Oct 2016 (10y) | ||
| Fiona Karen Cosmann | Registered representative | Oct 2016 (10y) | ||
| Spencer Eric Seidler | Registered representative | Oct 2016 (10y) | ||
| Nain J Perez | Registered representative | Oct 2016 (10y) | ||
| Kyle Carter Blair | Registered representative | Nov 2016 (10y) | ||
| Barbara Lee Rayll | Registered representative | Nov 2016 (10y) | ||
| Ikechukwu Uzoma Pius Nwagwu | Registered representative | Dec 2016 (10y) | ||
| Ami Shah | Registered representative | Dec 2016 (10y) | ||
| Shawnee G Anderson | Registered representative | Dec 2016 (10y) | ||
| Stuart Allen Pipho | Registered representative | Jan 2017 (10y) | ||
| Grant Daniel West | Registered representative | Jan 2017 (10y) | ||
| Shirley Ann Mcallister | Registered representative | Feb 2017 (9y) | ||
| Kelly Marie Craft | Registered representative | Mar 2017 (9y) | ||
| Lilian Cadore | Registered representative | Mar 2017 (9y) | ||
| Amanda Kay Maggio Ramig | Registered representative | Mar 2017 (9y) | ||
| Monique Horton Kabitzke | Registered representative | Mar 2017 (9y) | ||
| Ronald Joseph Graham | Registered representative | Mar 2017 (9y) | ||
| John Michael Kitlinski | Registered representative | Mar 2017 (9y) | ||
| Lee Trevino | Registered representative | CFP | Mar 2017 (9y) | |
| Nicole Stannard | Registered representative | Apr 2017 (9y) | ||
| Amanda Michelle Sadler | Registered representative | Apr 2017 (9y) | ||
| Kimely Patrice Pitre | Registered representative | Apr 2017 (9y) | ||
| Raelynn A Harlach | Registered representative | Chartered Financial Consultant | May 2017 (9y) | |
| Stephen David Mink | Registered representative | May 2017 (9y) | ||
| Ty Hysten | Registered representative | May 2017 (9y) | ||
| Lane Mark Jerdal | Registered representative | CFP | May 2017 (9y) | |
| Gregory Sanfacon | Registered representative | May 2017 (9y) | ||
| Jason Edward Cotton | Registered representative | CFP | Jun 2017 (9y) | |
| Jason D Shearer | Registered representative | Jun 2017 (9y) | ||
| Richard P Grofsick | Registered representative | CFP | Jun 2017 (9y) | |
| Lauren Jane Sledge | Registered representative | Jul 2017 (9y) | ||
| Eric Ramsey Gray | Registered representative | Aug 2017 (9y) | ||
| Alexander Boyd | Registered representative | Aug 2017 (9y) | ||
| Clinton Joseph Mann | Registered representative | CFP | Aug 2017 (9y) | |
| Tia Jinks | Registered representative | Aug 2017 (9y) | ||
| Victor Manuel Gomez | Registered representative | Sep 2017 (9y) | ||
| Deanna Lynn Brown | Registered representative | Sep 2017 (9y) | ||
| Richard Wilson | Registered representative | Sep 2017 (9y) | ||
| Arie Robert Buer | Registered representative | Sep 2017 (9y) | ||
| Ria Michelle V Busch | Registered representative | Oct 2017 (9y) | ||
| Marigene Wilkins Taylor | Registered representative | Oct 2017 (9y) | ||
| Mathew Warren Smith | Registered representative | CFP | Oct 2017 (9y) | |
| Alexander Harriehausen | Registered representative | Oct 2017 (9y) | ||
| Chigozie Marvin Orieh | Registered representative | Oct 2017 (9y) | ||
| Roel Jao Aguinaldo | Registered representative | Oct 2017 (9y) | ||
| David Wayne Keely | Registered representative | CFP | Nov 2017 (9y) | |
| Taylor Jaquays | Registered representative | Nov 2017 (9y) | ||
| Richard W Pearson | Registered representative | Nov 2017 (9y) | ||
| Sean Mccormack | Registered representative | CFP | Dec 2017 (9y) | |
| Steven George Wilson | Registered representative | Dec 2017 (9y) | ||
| Stephen Matthew Hughes | Registered representative | Dec 2017 (9y) | ||
| Thomas Miles Siegfried | Registered representative | Jan 2018 (9y) | ||
| Lance Singletary | Registered representative | CFP Chartered Financial Consultant | Jan 2018 (9y) | |
| Matthew Bentley Craft | Registered representative | Jan 2018 (9y) | ||
| Laura Kathryn Hyser Stigner | Registered representative | Jan 2018 (9y) | ||
| Kristy Philippe | Registered representative | Jan 2018 (9y) | ||
| Erik Jeffrey Stad | Registered representative | Jan 2018 (9y) | ||
| Roxann Allison Lorraine Murphy | Registered representative | Jan 2018 (9y) | ||
| Christopher C Cutshall | Registered representative | Feb 2018 (8y) | ||
| Corey Belcher | Registered representative | Mar 2018 (8y) | ||
| Ryan Joseph Quenneville | Registered representative | CFP | Mar 2018 (8y) | |
| Alva Ebenezer O'neal | Registered representative | CFP | Mar 2018 (8y) | |
| Willard Amos Tuck | Registered representative | Mar 2018 (8y) | ||
| Micheal Fred Miller | Registered representative | Mar 2018 (8y) | ||
| Jared Roush | Registered representative | Mar 2018 (8y) | ||
| Stephanie Denise Ellis | Registered representative | Mar 2018 (8y) | ||
| Kendra Kay Plueard | Registered representative | Mar 2018 (8y) | ||
| Christopher Alan Lauver | Registered representative | Apr 2018 (8y) | ||
| Michael Thomas Williams | Registered representative | Apr 2018 (8y) | ||
| Steven Daniel Raab | Registered representative | Apr 2018 (8y) | ||
| Walter W Griffin | Registered representative | Apr 2018 (8y) | ||
| Tracy Clark | Registered representative | CFP | Apr 2018 (8y) | |
| Alysia Dawn Miller | Registered representative | Apr 2018 (8y) | ||
| Laurence Edward Dunlap | Registered representative | Apr 2018 (8y) | ||
| Eric C Gross | Registered representative | May 2018 (8y) | ||
| John Patrick Dakin | Registered representative | CFP | May 2018 (8y) | |
| Mark J Milewski | Registered representative | May 2018 (8y) | ||
| Andrew Wood | Registered representative | May 2018 (8y) | ||
| Jay Anthony Edwards | Registered representative | May 2018 (8y) | ||
| Serene Alsous | Registered representative | CFP Chartered Financial Consultant | Jun 2018 (8y) | |
| William Thomas Breaux | Registered representative | Jun 2018 (8y) | ||
| Wendy Struble Kickhofel | Registered representative | Jun 2018 (8y) | ||
| Charles Z Mahaffey | Registered representative | CFP | Jul 2018 (8y) | |
| Mads F Andersen | Registered representative | Jul 2018 (8y) | ||
| James Edward Hromadka | Registered representative | CFP | Jul 2018 (8y) | |
| Tracey Lynn Faenza | Registered representative | Jul 2018 (8y) | ||
| Jesse Lawrence Wickham | Registered representative | Jul 2018 (8y) | ||
| Ryan Neil Mccallum | Registered representative | Aug 2018 (8y) | ||
| Michael Richard Grofsick | Registered representative | Aug 2018 (8y) | ||
| Jennifer Blake Karaczun | Registered representative | Sep 2018 (8y) | ||
| Pamela Ann Corrick | Registered representative | Sep 2018 (8y) | ||
| Michael John Bokach | Registered representative | Sep 2018 (8y) | ||
| Ternel Norbert Martinez | Registered representative | Sep 2018 (8y) | ||
| Trent Lynn Harris | Registered representative | Oct 2018 (8y) | ||
| Derrick R Merck | Registered representative | Chartered Financial Consultant | Oct 2018 (8y) | |
| Jeffrey Brian Isley | Registered representative | Oct 2018 (8y) | ||
| Matthew James Mcdonough | Registered representative | Oct 2018 (8y) | ||
| Kathleen Sue Dennis | Registered representative | Oct 2018 (8y) | ||
| Blane Itsuo Kagamida | Registered representative | Nov 2018 (8y) | ||
| Lawrence Jan Pere Serrano | Registered representative | Nov 2018 (8y) | ||
| William Joseph Mckeever | Registered representative | Dec 2018 (8y) | ||
| Jillian Ashley Kucik | Registered representative | Dec 2018 (8y) | ||
| Robert James Klug | Registered representative | Dec 2018 (8y) | ||
| Amanda Leann Sewell | Registered representative | Dec 2018 (8y) | ||
| Robert Leombruno Jr | Registered representative | Dec 2018 (8y) | ||
| Peter Heidenreich | Registered representative | CFP | Jan 2019 (8y) | |
| Michele Phillippi | Registered representative | Jan 2019 (8y) | ||
| Matthew Lewis Crouch | Registered representative | Feb 2019 (7y) | ||
| Bradley Scott Goodwin | Registered representative | Feb 2019 (7y) | ||
| Bailey Alan Rihner | Registered representative | Feb 2019 (7y) | ||
| Amanda Lynn Liscio | Registered representative | Feb 2019 (7y) | ||
| Dana Leigh Hodges | Registered representative | Feb 2019 (7y) | ||
| Jessica Renae Hope Buckner | Registered representative | Feb 2019 (7y) | ||
| Cody Clayson | Registered representative | Mar 2019 (7y) | ||
| Marco Hunter Willis | Registered representative | Mar 2019 (7y) | ||
| Tommy Dale Roy | Registered representative | Mar 2019 (7y) | ||
| Craig A Boyer | Registered representative | Mar 2019 (7y) | ||
| Doris Gasca Silva | Registered representative | Mar 2019 (7y) | ||
| David Thomas Cassin | Registered representative | Mar 2019 (7y) | ||
| Michael Laible | Registered representative | Apr 2019 (7y) | ||
| Alphonse Earl Perry | Registered representative | Apr 2019 (7y) | ||
| Kara Weston | Registered representative | Apr 2019 (7y) | ||
| Bradford Preston Mecklenburg | Registered representative | CFP | Apr 2019 (7y) | |
| Mary Patricia Hollier | Registered representative | Apr 2019 (7y) | ||
| Deedra Carter | Registered representative | Apr 2019 (7y) | ||
| Brian Dubose | Registered representative | Apr 2019 (7y) | ||
| Laura Lynn Akins | Registered representative | Apr 2019 (7y) | ||
| Jared Sandlin | Registered representative | May 2019 (7y) | ||
| Chelsey Mixon | Registered representative | May 2019 (7y) | ||
| Alfredo Sanchez | Registered representative | May 2019 (7y) | ||
| Marie Turino | Registered representative | CFP Chartered Financial Consultant | May 2019 (7y) | |
| Seth Michael May | Registered representative | May 2019 (7y) | ||
| Robert Daughtry | Registered representative | May 2019 (7y) | ||
| Dane William Colberg | Registered representative | Jun 2019 (7y) | ||
| Lalani Jo Jensen | Registered representative | Jun 2019 (7y) | ||
| Zakary Charles Madelen | Registered representative | Jun 2019 (7y) | ||
| Catherine Elizabeth Livingston | Registered representative | Jun 2019 (7y) | ||
| James Michael Faust | Registered representative | Jun 2019 (7y) | ||
| Bradley Boandl | Registered representative | Jul 2019 (7y) | ||
| Robert Blake Palmer | Registered representative | Jul 2019 (7y) | ||
| Brad Stephen Davies | Registered representative | Jul 2019 (7y) | ||
| Gregory James Sporer | Registered representative | Aug 2019 (7y) | ||
| Charles Richard Cooley | Registered representative | Aug 2019 (7y) | ||
| Andrew Mcginnis | Registered representative | Aug 2019 (7y) | ||
| Andrew Lee Burton | Registered representative | CFP | Sep 2019 (7y) | |
| Patrick R. Audet | Registered representative | Sep 2019 (7y) | ||
| Susan Nakashima | Registered representative | Sep 2019 (7y) | ||
| Andrew Verre | Registered representative | Sep 2019 (7y) | ||
| Jonathan Carter | Registered representative | Sep 2019 (7y) | ||
| John Edward Connor | Registered representative | Oct 2019 (7y) | ||
| Lucia Alicia Cruz | Registered representative | Oct 2019 (7y) | ||
| Victoria D Jopson | Registered representative | Oct 2019 (7y) | ||
| Sven O Lundell | Registered representative | Nov 2019 (7y) | ||
| Daniel Aviles | Registered representative | Nov 2019 (7y) | ||
| Steven George Bentley | Registered representative | Nov 2019 (7y) | ||
| Dominic Vincenzo Marfisi | Registered representative | Nov 2019 (7y) | ||
| Cody Hamrick | Registered representative | Nov 2019 (7y) | ||
| Stephanie Hunter | Registered representative | Nov 2019 (7y) | ||
| Alyssa Lorraine Berry | Registered representative | Nov 2019 (7y) | ||
| Jerilynn Holmes | Registered representative | Nov 2019 (7y) | ||
| Alexander Rauch | Registered representative | CFP | Nov 2019 (7y) | |
| Abraham Emery Ser | Registered representative | Dec 2019 (7y) | ||
| Kasey Kozlowski | Registered representative | Dec 2019 (7y) | ||
| Spase Dorsuleski | Registered representative | Dec 2019 (7y) | ||
| Cooper Sullivan Gresham | Registered representative | Dec 2019 (7y) | ||
| Braxton Alan Towery | Registered representative | Dec 2019 (7y) | ||
| Bryant Johnson | Registered representative | Jan 2020 (7y) | ||
| Danika M Korenek | Registered representative | Jan 2020 (7y) | ||
| Carolina D Duin | Registered representative | Jan 2020 (7y) | ||
| Cory Richard Davern | Registered representative | Jan 2020 (7y) | ||
| Mazher Mir | Registered representative | Jan 2020 (7y) | ||
| Christopher Dirk Bearden | Registered representative | Jan 2020 (7y) | ||
| David Edward Ernst | Registered representative | Feb 2020 (6y) | ||
| Sarah Marie Keilers | Registered representative | Feb 2020 (6y) | ||
| Michael David Picard | Registered representative | Feb 2020 (6y) | ||
| Jacob Benjamin Phillippi | Registered representative | Feb 2020 (6y) | ||
| Kubilay Erturk Isbilen | Registered representative | Feb 2020 (6y) | ||
| Alan Sanfratella | Registered representative | Feb 2020 (6y) | ||
| Steven Anthony Meinbresse | Registered representative | Feb 2020 (6y) | ||
| Casey Lane Skrabanek | Registered representative | Mar 2020 (6y) | ||
| Adolfo Alvarez | Registered representative | Mar 2020 (6y) | ||
| Christine Lynnette Shippey | Registered representative | CFP | Apr 2020 (6y) | |
| Srikrupa Murali | Registered representative | Apr 2020 (6y) | ||
| Stephanie Angela Jamison | Registered representative | Apr 2020 (6y) | ||
| Donovan Mcgowen | Registered representative | May 2020 (6y) | ||
| David Ramon Diaz | Registered representative | May 2020 (6y) | ||
| Joseph David Fasano | Registered representative | May 2020 (6y) | ||
| Maura Esten | Registered representative | May 2020 (6y) | ||
| Brittany Morgan Wagoner | Registered representative | May 2020 (6y) | ||
| Stephen Brewer Carruthers | Registered representative | Jun 2020 (6y) | ||
| Robert Francis Lewis | Registered representative | Chartered Financial Consultant | Jun 2020 (6y) | |
| William J Donovan | Registered representative | Jun 2020 (6y) | ||
| Jenifer Bollinger | Registered representative | Jun 2020 (6y) | ||
| Angel Adrian Bermudez | Registered representative | Jun 2020 (6y) | ||
| Zachary Borens | Registered representative | Jun 2020 (6y) | ||
| Tosh Anthony Matteis | Registered representative | Jun 2020 (6y) | ||
| Linda Ruby Lopez Aguayo | Registered representative | Jun 2020 (6y) | ||
| Cynthia Cohen Handmaker | Registered representative | Jun 2020 (6y) | ||
| Danielle C Lake Nestor | Registered representative | Jun 2020 (6y) | ||
| Corey Steinmann | Registered representative | Jul 2020 (6y) | ||
| Ryan Richardson | Registered representative | Jul 2020 (6y) | ||
| Craig Louis Fischer | Registered representative | Jul 2020 (6y) | ||
| Stephanie Dolores Fecteau | Registered representative | Jul 2020 (6y) | ||
| Judy Dang | Registered representative | Jul 2020 (6y) | ||
| Jerome Gregory | Registered representative | Jul 2020 (6y) | ||
| Peyton C Delvendahl | Registered representative | Aug 2020 (6y) | ||
| Alexa Ventrice | Registered representative | Aug 2020 (6y) | ||
| Rushma Gilchrist | Registered representative | Aug 2020 (6y) | ||
| Scott David Jordan | Registered representative | Aug 2020 (6y) | ||
| Krista Nicole Hill | Registered representative | Aug 2020 (6y) | ||
| Luanna Reyes | Registered representative | Aug 2020 (6y) | ||
| George Marion Kimble | Registered representative | Aug 2020 (6y) | ||
| Trine Andersen | Registered representative | Aug 2020 (6y) | ||
| Justin Zachary Verwijst | Registered representative | CFP | Aug 2020 (6y) | |
| Flora Burke | Registered representative | Aug 2020 (6y) | ||
| David Joseph Wymer | Registered representative | Sep 2020 (6y) | ||
| Andrew Robert Tripp | Registered representative | Sep 2020 (6y) | ||
| Crystal Tenecia Brown | Registered representative | Sep 2020 (6y) | ||
| Trang H Chandler | Registered representative | Sep 2020 (6y) | ||
| Andrea Faith Camp | Registered representative | Oct 2020 (6y) | ||
| Ryan Anthony Russo | Registered representative | Oct 2020 (6y) | ||
| Krysanthe Dawes | Registered representative | Oct 2020 (6y) | ||
| Jason Mathew Cohen | Registered representative | Oct 2020 (6y) | ||
| Stephanie Harrison | Registered representative | Oct 2020 (6y) | ||
| Nadim Eldahdah | Registered representative | Oct 2020 (6y) | ||
| Robert C Skehan | Registered representative | Oct 2020 (6y) | ||
| Ryan Logan Wilson | Registered representative | Oct 2020 (6y) | ||
| Michael David Matis | Registered representative | Oct 2020 (6y) | ||
| Kurt Alan Beerline | Registered representative | Oct 2020 (6y) | ||
| Brandon Powell Atkinson | Registered representative | Oct 2020 (6y) | ||
| Catherine Brashears | Registered representative | Oct 2020 (6y) | ||
| Chandra Rochell Rollins | Registered representative | Nov 2020 (6y) | ||
| Georgea Tingas | Registered representative | Nov 2020 (6y) | ||
| James Vance | Registered representative | Nov 2020 (6y) | ||
| Jane Lanier Mapp | Registered representative | Nov 2020 (6y) | ||
| Madelyn Beth Underwood | Registered representative | Nov 2020 (6y) | ||
| Bradley Romeo | Registered representative | Nov 2020 (6y) | ||
| Christopher Simenson | Registered representative | Nov 2020 (6y) | ||
| Paula Renee Vollum | Registered representative | Nov 2020 (6y) | ||
| Richard Charles Buckland | Registered representative | Nov 2020 (6y) | ||
| Maxwell Garrett Nelson | Registered representative | Nov 2020 (6y) | ||
| James Paul Lesniewski | Registered representative | Nov 2020 (6y) | ||
| My Viet Le | Registered representative | Dec 2020 (6y) | ||
| Lee Randall Bowman | Registered representative | Dec 2020 (6y) | ||
| Connor Chambers | Registered representative | Dec 2020 (6y) | ||
| Eugen Mlhai Trifan | Registered representative | Dec 2020 (6y) | ||
| Kelly Laureen Mullican | Registered representative | Dec 2020 (6y) | ||
| Autumn Browning | Registered representative | Dec 2020 (6y) | ||
| Patrick Joseph Ricci | Registered representative | Jan 2021 (6y) | ||
| Vyvyann Mydung Wong | Registered representative | Jan 2021 (6y) | ||
| Atir Alexander Cherne | Registered representative | Jan 2021 (6y) | ||
| Michael John Roche | Registered representative | Jan 2021 (6y) | ||
| Anna Lauren Jacoby | Registered representative | Jan 2021 (6y) | ||
| Eric John Gibson | Registered representative | Feb 2021 (5y) | ||
| Ivory Stewart | Registered representative | Feb 2021 (5y) | ||
| Megan Rauch | Registered representative | Feb 2021 (5y) | ||
| Tad Sresthaphunlarp | Registered representative | Mar 2021 (5y) | ||
| Brian Barker | Registered representative | CFP | Mar 2021 (5y) | |
| Jasmine R Henderson | Registered representative | Mar 2021 (5y) | ||
| Donna Ann Pribe | Registered representative | Mar 2021 (5y) | ||
| Thomas Fernand Sautel | Registered representative | Mar 2021 (5y) | ||
| Muhammad Afzal Ali | Registered representative | Apr 2021 (5y) | ||
| Kevin Torralba | Registered representative | Apr 2021 (5y) | ||
| Andrew Polanco Jimenez | Registered representative | Apr 2021 (5y) | ||
| Daniel Lee Allbritton | Registered representative | Apr 2021 (5y) | ||
| Jacquelyn Blair Csonka | Registered representative | Apr 2021 (5y) | ||
| Stephanie Cortez | Registered representative | Apr 2021 (5y) | ||
| Ryan Thomas Gilchrist | Registered representative | May 2021 (5y) | ||
| Kareem George Roberts | Registered representative | May 2021 (5y) | ||
| Daniel Contreras | Registered representative | May 2021 (5y) | ||
| John Joseph Obrien | Registered representative | May 2021 (5y) | ||
| Joshua Martin | Registered representative | May 2021 (5y) | ||
| Ariel Gibson | Registered representative | Jun 2021 (5y) | ||
| Philip Jones | Registered representative | Jun 2021 (5y) | ||
| Jacob Hicks | Registered representative | Jun 2021 (5y) | ||
| Joshua Keller | Registered representative | Jun 2021 (5y) | ||
| Michael Lauer | Registered representative | Jun 2021 (5y) | ||
| Michael Todd Branham | Registered representative | Jul 2021 (5y) | ||
| Kevin John Gertz | Registered representative | Jul 2021 (5y) | ||
| Serena Monet Cruz | Registered representative | Jul 2021 (5y) | ||
| Lawrence Everett Thompson | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| Christina Proscia | Registered representative | Jul 2021 (5y) | ||
| Michael Allan Harter | Registered representative | Jul 2021 (5y) | ||
| Jacob Hassinger | Registered representative | Jul 2021 (5y) | ||
| Sarah Hughes | Registered representative | Aug 2021 (5y) | ||
| Drew R Balestrieri | Registered representative | Aug 2021 (5y) | ||
| Christopher David Richmond | Registered representative | Aug 2021 (5y) | ||
| Gary W Sloan | Registered representative | Aug 2021 (5y) | ||
| Clayton Nieman | Registered representative | Aug 2021 (5y) | ||
| Alleyne Hill | Registered representative | Aug 2021 (5y) | ||
| Daniel P Vosters | Registered representative | Aug 2021 (5y) | ||
| Lloyd Edward Shaw | Registered representative | Sep 2021 (5y) | ||
| Richard Maurisma | Registered representative | Sep 2021 (5y) | ||
| Jared Andrew Kahler | Registered representative | Sep 2021 (5y) | ||
| Manuel I Cuaresma | Registered representative | Sep 2021 (5y) | ||
| Andrew David Croft | Registered representative | Oct 2021 (5y) | ||
| Juan Restrepo | Registered representative | Oct 2021 (5y) | ||
| Austin Hoover | Registered representative | Nov 2021 (5y) | ||
| Abby Gordy | Registered representative | Nov 2021 (5y) | ||
| Julia Sears | Registered representative | Nov 2021 (5y) | ||
| Juan Perez | Registered representative | CFP | Nov 2021 (5y) | |
| Haley Elise Hanson | Registered representative | Dec 2021 (5y) | ||
| Michael Scott Bien | Registered representative | Dec 2021 (5y) | ||
| Brian Patrick Guyette | Registered representative | Jan 2022 (5y) | ||
| Clayton Jeffery Peles | Registered representative | Jan 2022 (5y) | ||
| Tam Thi Le | Registered representative | CFP | Jan 2022 (5y) | |
| Alyssa Ann Ulrey | Registered representative | Jan 2022 (5y) | ||
| David Daniel Stratton | Registered representative | Jan 2022 (5y) | ||
| Melika Shauna Alessandra Smith | Registered representative | Feb 2022 (5y) | ||
| Veronica Ann Magnotta | Registered representative | Feb 2022 (4y) | ||
| Sandra Montoya | Registered representative | Feb 2022 (4y) | ||
| Timothy Carl Schroyer | Registered representative | Feb 2022 (4y) | ||
| Jennifer Lee Jorgensen | Registered representative | Feb 2022 (4y) | ||
| Joshua D Coward | Registered representative | Mar 2022 (4y) | ||
| Nicole Saldivar | Registered representative | Mar 2022 (4y) | ||
| Dillion Anthony Thoms | Registered representative | Mar 2022 (4y) | ||
| Zaid Siddiqui | Registered representative | Mar 2022 (4y) | ||
| Michael Kruger | Registered representative | Mar 2022 (4y) | ||
| Courtney Fleming | Registered representative | Mar 2022 (4y) | ||
| Stephen Gregor Stark | Registered representative | Mar 2022 (4y) | ||
| Alan Fefer | Registered representative | Mar 2022 (4y) | ||
| Jordan Daniel Coffey | Registered representative | Apr 2022 (4y) | ||
| Anthony Gordon Moyle | Registered representative | Apr 2022 (4y) | ||
| Ryan Gloff | Registered representative | Apr 2022 (4y) | ||
| Larry Norman | Registered representative | Apr 2022 (4y) | ||
| Brian Thomas Mickelson | Registered representative | Apr 2022 (4y) | ||
| Colin Michael Mcdonnell | Registered representative | Apr 2022 (4y) | ||
| John Corcoran | Registered representative | Apr 2022 (4y) | ||
| Virginia Britton Hailar | Registered representative | Apr 2022 (4y) | ||
| Elizabeth C House | Registered representative | May 2022 (4y) | ||
| Leslie Halpern | Registered representative | May 2022 (4y) | ||
| Candace Leigh Johnson | Registered representative | May 2022 (4y) | ||
| Lori Ann Garside | Registered representative | May 2022 (4y) | ||
| Luis Lopez | Registered representative | May 2022 (4y) | ||
| Allison Pasta | Registered representative | Jun 2022 (4y) | ||
| Kyle Patrick Chambers | Registered representative | Jun 2022 (4y) | ||
| Shannon Heather Cotter | Registered representative | Jun 2022 (4y) | ||
| Christina M Bishop | Registered representative | Jun 2022 (4y) | ||
| Chase Ray Pegrim | Registered representative | Jun 2022 (4y) | ||
| Christian Poirier | Registered representative | Jul 2022 (4y) | ||
| Brandon Doherty | Registered representative | Jul 2022 (4y) | ||
| Darin Lusch | Registered representative | Jul 2022 (4y) | ||
| Nazma Begum | Registered representative | Jul 2022 (4y) | ||
| Tanner Patterson | Registered representative | Jul 2022 (4y) | ||
| Calista Kay Randall | Registered representative | Jul 2022 (4y) | ||
| Adam J Grace | Registered representative | Jul 2022 (4y) | ||
| Alex Silvestro | Registered representative | Jul 2022 (4y) | ||
| Nicholas Nestro | Registered representative | CFP | Aug 2022 (4y) | |
| Robert Dickson | Registered representative | Aug 2022 (4y) | ||
| Bernice Castaneda | Registered representative | Aug 2022 (4y) | ||
| Sonia Mchenry | Registered representative | Aug 2022 (4y) | ||
| Jacob Douglas Niemeyer | Registered representative | Aug 2022 (4y) | ||
| Danielle Bailey | Registered representative | Aug 2022 (4y) | ||
| Jayson Cella | Registered representative | Aug 2022 (4y) | ||
| Mckenlee Derrick Randolph | Registered representative | Aug 2022 (4y) | ||
| Heather Bennett | Registered representative | Aug 2022 (4y) | ||
| Gelber Castillo | Registered representative | Aug 2022 (4y) | ||
| Johnathon Keith Wishnask | Registered representative | Sep 2022 (4y) | ||
| Maximo Lopez | Registered representative | Sep 2022 (4y) | ||
| Steven James Fraser | Registered representative | Sep 2022 (4y) | ||
| Nicholas Lisnock | Registered representative | Sep 2022 (4y) | ||
| Kathryn Wise | Registered representative | Sep 2022 (4y) | ||
| Colette Parrilli Robinson | Registered representative | Sep 2022 (4y) | ||
| Wendell James Lofton | Registered representative | Sep 2022 (4y) | ||
| James Kitchens | Registered representative | Oct 2022 (4y) | ||
| Jacob Andrew Brown | Registered representative | Oct 2022 (4y) | ||
| William Thomas Prosser | Registered representative | Oct 2022 (4y) | ||
| Cynthia Denise Reavis | Registered representative | Oct 2022 (4y) | ||
| Aleasia Thomas | Registered representative | Oct 2022 (4y) | ||
| Brenden T Mcreynolds | Registered representative | Oct 2022 (4y) | ||
| Marko Majstorovic | Registered representative | Oct 2022 (4y) | ||
| Tristan Walker | Registered representative | Oct 2022 (4y) | ||
| Elijah Spears | Registered representative | Oct 2022 (4y) | ||
| Matthew Rosenlieb | Registered representative | Oct 2022 (4y) | ||
| Shazeen Amir Taiyabi | Registered representative | Oct 2022 (4y) | ||
| Courtney M Watson | Registered representative | Oct 2022 (4y) | ||
| Saul Alvarez | Registered representative | Oct 2022 (4y) | ||
| Trecia Scribner | Registered representative | Nov 2022 (4y) | ||
| Joshua Victor Cervantes | Registered representative | Nov 2022 (4y) | ||
| Shawn Monahan | Registered representative | Nov 2022 (4y) | ||
| Meghan Leonard | Registered representative | Nov 2022 (4y) | ||
| Jeffrey Doud Young | Registered representative | Nov 2022 (4y) | ||
| Joe Kipper Green | Registered representative | Nov 2022 (4y) | ||
| Mitchell C Shubert | Registered representative | Nov 2022 (4y) | ||
| Michael Patrick Wilkens | Registered representative | Dec 2022 (4y) | ||
| Patrick C Ylitalo | Registered representative | Jan 2023 (4y) | ||
| Warren Caguioa | Registered representative | Jan 2023 (4y) | ||
| Jacob Standaert | Registered representative | Jan 2023 (4y) | ||
| Seth A Jackson | Registered representative | Jan 2023 (4y) | ||
| Jeremy Crocker | Registered representative | Feb 2023 (3y) | ||
| Teneshia Eleby | Registered representative | Feb 2023 (3y) | ||
| Jesse T. Sausedo | Registered representative | Feb 2023 (3y) | ||
| Ann Marie Turner | Registered representative | Feb 2023 (3y) | ||
| Rickey Jack Carlson | Registered representative | Feb 2023 (3y) | ||
| Randall Scott Long | Registered representative | Feb 2023 (3y) | ||
| Adri Lourens | Registered representative | Mar 2023 (3y) | ||
| Jacob Levi Howley | Registered representative | Mar 2023 (3y) | ||
| Akira Tyree Gatewood | Registered representative | Mar 2023 (3y) | ||
| Gentry Arnette | Registered representative | Mar 2023 (3y) | ||
| Jacob Paupore | Registered representative | Mar 2023 (3y) | ||
| Michael Alan Carter | Registered representative | Mar 2023 (3y) | ||
| Danielle Major | Registered representative | Mar 2023 (3y) | ||
| Charissa Ann Hatten | Registered representative | Mar 2023 (3y) | ||
| Rodger W Naugle | Registered representative | Apr 2023 (3y) | ||
| Darryl James Knox | Registered representative | CFP | Apr 2023 (3y) | |
| Christian A Fryc | Registered representative | Apr 2023 (3y) | ||
| Thomas Martyn Hopper | Registered representative | Apr 2023 (3y) | ||
| Akanni Kenyon Jones | Registered representative | Apr 2023 (3y) | ||
| Brett Michael Rariden | Registered representative | May 2023 (3y) | ||
| Wolfgang D Lohrer | Registered representative | May 2023 (3y) | ||
| Anthony Becker | Registered representative | May 2023 (3y) | ||
| Alexander Kosheff | Registered representative | May 2023 (3y) | ||
| Amy Leigh Mullvain | Registered representative | May 2023 (3y) | ||
| Kevin Sean Long | Registered representative | Jun 2023 (3y) | ||
| Brandon Fiske | Registered representative | Jun 2023 (3y) | ||
| Esmeralda Gonzales | Registered representative | Jun 2023 (3y) | ||
| Kyle Grofsick | Registered representative | Jun 2023 (3y) | ||
| Griffin James Lusk | Registered representative | Jun 2023 (3y) | ||
| Christopher Romero | Registered representative | Jun 2023 (3y) | ||
| Waseem Ahmed Ansari | Registered representative | Jun 2023 (3y) | ||
| Sabrina J Mason | Registered representative | Jun 2023 (3y) | ||
| Jennie Reed Romero | Registered representative | Jul 2023 (3y) | ||
| Robert Sorensen | Registered representative | Jul 2023 (3y) | ||
| Brett Arthur Young | Registered representative | Jul 2023 (3y) | ||
| Bryan Alexander Rodriguez | Registered representative | Jul 2023 (3y) | ||
| David Duque | Registered representative | Jul 2023 (3y) | ||
| Caroline Grace Shelton | Registered representative | Aug 2023 (3y) | ||
| Colton Rankey | Registered representative | Aug 2023 (3y) | ||
| Rory Ian Mccarthy | Registered representative | Aug 2023 (3y) | ||
| Jacob Underwood | Registered representative | Aug 2023 (3y) | ||
| Christopher John Lupo | Registered representative | Aug 2023 (3y) | ||
| Jennifer Marie Bauman | Registered representative | Sep 2023 (3y) | ||
| Caleb Luke Logan | Registered representative | Sep 2023 (3y) | ||
| Noah M Krull | Registered representative | Sep 2023 (3y) | ||
| Benjamin S Stahl | Registered representative | Sep 2023 (3y) | ||
| Nicholas Dexheimer | Registered representative | Sep 2023 (3y) | ||
| Isiah Brown | Registered representative | Sep 2023 (3y) | ||
| Jensen D Bryan | Registered representative | Oct 2023 (3y) | ||
| Patrick Reilly | Registered representative | Oct 2023 (3y) | ||
| Sebastien Francois Gruaz | Registered representative | Oct 2023 (3y) | ||
| Michael Conlin | Registered representative | Oct 2023 (3y) | ||
| Eric Thompson | Registered representative | Oct 2023 (3y) | ||
| Cole Radzewicz | Registered representative | Oct 2023 (3y) | ||
| Jennifer Caveny Ladner | Registered representative | Oct 2023 (3y) | ||
| Nicholas Earnest Sigismondi | Registered representative | Nov 2023 (3y) | ||
| Morgan Dean Gates Thomas | Registered representative | Nov 2023 (3y) | ||
| Ryan Grassel | Registered representative | CFP | Nov 2023 (3y) | |
| Dakota A Bunday | Registered representative | Nov 2023 (3y) | ||
| Kaitlyn Fitzhenry | Registered representative | Nov 2023 (3y) | ||
| Aaron Williams | Registered representative | Dec 2023 (3y) | ||
| Michael Alexander Falitico | Registered representative | Dec 2023 (3y) | ||
| Maarten Hoyne Van Zee | Registered representative | Dec 2023 (3y) | ||
| Mohammad Qureshi | Registered representative | Dec 2023 (3y) | ||
| Joseph Briggs | Registered representative | Jan 2024 (3y) | ||
| Charles Stokley Hays | Registered representative | Jan 2024 (3y) | ||
| Emely Benitez | Registered representative | Jan 2024 (3y) | ||
| Fatimah K Uthman | Registered representative | Jan 2024 (3y) | ||
| Robert Condon | Registered representative | Jan 2024 (3y) | ||
| Braden Dawes | Registered representative | Jan 2024 (3y) | ||
| Gregory Cole Rodriguez | Registered representative | Jan 2024 (3y) | ||
| James Campbell | Registered representative | Jan 2024 (3y) | ||
| Kyle Faldyn | Registered representative | Mar 2024 (2y) | ||
| Kira Hill | Registered representative | Mar 2024 (2y) | ||
| Kyle Mason | Registered representative | CFP Chartered Financial Consultant | Mar 2024 (2y) | |
| Adam Miller | Registered representative | Mar 2024 (2y) | ||
| Matthew William Guthrie | Registered representative | Mar 2024 (2y) | ||
| William Charles Sorrentino | Registered representative | Apr 2024 (2y) | ||
| Nate Roger Stassen | Registered representative | Apr 2024 (2y) | ||
| Teddy Gene Lewis | Registered representative | Apr 2024 (2y) | ||
| Rose Bizarro | Registered representative | May 2024 (2y) | ||
| Chad James Mckinney | Registered representative | CFP | May 2024 (2y) | |
| Jack Yale | Registered representative | CFP | May 2024 (2y) | |
| Rene Michelle Eisele | Registered representative | Jun 2024 (2y) | ||
| Scott Satalino | Registered representative | Jun 2024 (2y) | ||
| Emerson Stanford Plauche | Registered representative | Jun 2024 (2y) | ||
| Ryan Masayuki Uwono | Registered representative | Jun 2024 (2y) | ||
| Christian John Edward Bower | Registered representative | Jul 2024 (2y) | ||
| Christopher John Routt | Registered representative | Jul 2024 (2y) | ||
| Brock Justin Noel | Registered representative | Jul 2024 (2y) | ||
| Daniel Deloney | Registered representative | Aug 2024 (2y) | ||
| Daniel Frederick Parisi | Registered representative | Aug 2024 (2y) | ||
| Jason Douglas Kirk | Registered representative | CFP | Aug 2024 (2y) | |
| Ashton Brown | Registered representative | Aug 2024 (2y) | ||
| Patrick K Maher | Registered representative | Aug 2024 (2y) | ||
| John Buchan | Registered representative | Sep 2024 (2y) | ||
| Matthew Kai Griggs | Registered representative | Sep 2024 (2y) | ||
| Michael Green | Registered representative | Sep 2024 (2y) | ||
| Kristopher Mosley | Registered representative | Sep 2024 (2y) | ||
| Thomas R Murphy | Registered representative | Sep 2024 (2y) | ||
| Leland Michael Slack | Registered representative | Sep 2024 (2y) | ||
| Rachel Caroline Delgado | Registered representative | Sep 2024 (2y) | ||
| Christopher David Shea | Registered representative | Sep 2024 (2y) | ||
| Dillon Giardini | Registered representative | Sep 2024 (2y) | ||
| Andrew Pontieri | Registered representative | Sep 2024 (2y) | ||
| Coulton G Ross | Registered representative | Oct 2024 (2y) | ||
| Garrett Mayhart | Registered representative | Oct 2024 (2y) | ||
| Grady James Edwards | Registered representative | Oct 2024 (2y) | ||
| David C Mills | Registered representative | Oct 2024 (2y) | ||
| Allison Gottelt | Registered representative | Oct 2024 (2y) | ||
| Bradley K Swanson | Registered representative | Oct 2024 (2y) | ||
| Mark Erik Hauschild | Registered representative | CFP | Oct 2024 (2y) | |
| Scott Thomas Turley | Registered representative | Oct 2024 (2y) | ||
| Daniel Legaye | Registered representative | Oct 2024 (2y) | ||
| Darrin Miles | Registered representative | Nov 2024 (2y) | ||
| Larry Alan Mathison | Registered representative | Nov 2024 (2y) | ||
| Erin Christine Green | Registered representative | Nov 2024 (2y) | ||
| Paul Michael Schaefer | Registered representative | Nov 2024 (2y) | ||
| Jacob Robert Gedis | Registered representative | Nov 2024 (2y) | ||
| Richard Lowell Bateman | Registered representative | Nov 2024 (2y) | ||
| James Hankins | Registered representative | Nov 2024 (2y) | ||
| William Albert Bennett | Registered representative | Nov 2024 (2y) | ||
| Baldemar Garza | Registered representative | Nov 2024 (2y) | ||
| Noel Thomas | Registered representative | Nov 2024 (2y) | ||
| Christopher S Mariconda | Registered representative | Nov 2024 (2y) | ||
| James Rush Jaynes | Registered representative | Dec 2024 (2y) | ||
| Cade Michael Horton | Registered representative | Dec 2024 (2y) | ||
| Lynette Justice | Registered representative | Dec 2024 (2y) | ||
| Daniel Lynch | Registered representative | Dec 2024 (2y) | ||
| Catherine Harstick | Registered representative | CFP | Dec 2024 (2y) | |
| Joel Garrett | Registered representative | Dec 2024 (2y) | ||
| Matthew Nardone | Registered representative | Dec 2024 (2y) | ||
| Tyler Inthisone | Registered representative | Dec 2024 (2y) | ||
| Jason Jarvis | Registered representative | Dec 2024 (2y) | ||
| Jacob Wallace Holt | Registered representative | Dec 2024 (2y) | ||
| Lajoi Thompkins | Registered representative | Jan 2025 (2y) | ||
| Steven Robert Scheuermann | Registered representative | Jan 2025 (2y) | ||
| George Miles Rapp | Registered representative | Jan 2025 (2y) | ||
| Corey Wilcox | Registered representative | Jan 2025 (2y) | ||
| Sarah J Burton | Registered representative | Jan 2025 (2y) | ||
| Ekaterina P Chompalova | Registered representative | Jan 2025 (2y) | ||
| Stephen Heiden | Registered representative | Jan 2025 (2y) | ||
| Kate Cleveland | Registered representative | Jan 2025 (2y) | ||
| Quang Tran | Registered representative | Jan 2025 (2y) | ||
| John Engelbert | Registered representative | Feb 2025 (1y) | ||
| Rebecca Wesley | Registered representative | Feb 2025 (1y) | ||
| Joseph Criscione | Registered representative | Feb 2025 (1y) | ||
| Matthew E Phillips | Registered representative | Feb 2025 (1y) | ||
| Ryan Michael Kiley | Registered representative | Feb 2025 (1y) | ||
| Jamie Andersen | Registered representative | Feb 2025 (1y) | ||
| Killian Mccray | Registered representative | Feb 2025 (1y) | ||
| Tyler Reburn | Registered representative | Feb 2025 (1y) | ||
| Francesco Cori Gamero | Registered representative | Feb 2025 (1y) | ||
| Robert Seeley | Registered representative | Feb 2025 (1y) | ||
| Brent Borden | Registered representative | Feb 2025 (1y) | ||
| Gustavo Ibanez | Registered representative | Feb 2025 (1y) | ||
| Herbert Strader Frazier | Registered representative | Feb 2025 (1y) | ||
| Christina Renee Tajc | Registered representative | Mar 2025 (1y) | ||
| Corey Armstrong | Registered representative | Mar 2025 (1y) | ||
| Francis Burrell | Registered representative | Mar 2025 (1y) | ||
| Carlee Ross | Registered representative | Mar 2025 (1y) | ||
| Miguel Angel Cano | Registered representative | Mar 2025 (1y) | ||
| Galen Don Mayo | Registered representative | CFP | Mar 2025 (1y) | |
| Jeffrey A Gruse | Registered representative | Mar 2025 (1y) | ||
| Kathleen Sparrow | Registered representative | Mar 2025 (1y) | ||
| Samantha Swenson Darnell | Registered representative | Mar 2025 (1y) | ||
| William G Wright | Registered representative | Mar 2025 (1y) | ||
| Brent A Pacheco | Registered representative | Mar 2025 (1y) | ||
| Matthew Foreman | Registered representative | Apr 2025 (1y) | ||
| Travis Ryan Fuller | Registered representative | Apr 2025 (1y) | ||
| Josue Cruz | Registered representative | Apr 2025 (1y) | ||
| Paul Schackman | Registered representative | Apr 2025 (1y) | ||
| Dominic Soto | Registered representative | Apr 2025 (1y) | ||
| Kailey S Fretwell | Registered representative | Apr 2025 (1y) | ||
| Daniel Stewart Sincere | Registered representative | Apr 2025 (1y) | ||
| Russell Scott Jones | Registered representative | Apr 2025 (1y) | ||
| Sara Marcela Beltran Caro | Registered representative | Apr 2025 (1y) | ||
| James Hull Garman | Registered representative | Apr 2025 (1y) | ||
| James Richard Lorenz | Registered representative | Apr 2025 (1y) | ||
| Sarah Joy Lange | Registered representative | Apr 2025 (1y) | ||
| Leah Nanae Yanagiya | Registered representative | Apr 2025 (1y) | ||
| Tanya Priddy Ferguson | Registered representative | May 2025 (1y) | ||
| Thomas M Taylor | Registered representative | May 2025 (1y) | ||
| Maxie Balthrop Cox | Registered representative | May 2025 (1y) | ||
| Michael Dean Dooley | Registered representative | May 2025 (1y) | ||
| Syed Zafar Majid | Registered representative | May 2025 (1y) | ||
| Jaden A Enbysk | Registered representative | May 2025 (1y) | ||
| Shantel Washington | Registered representative | May 2025 (1y) | ||
| Stacie Marie Diesfeld | Registered representative | Jun 2025 (1y) | ||
| Tessa Coleman | Registered representative | Jun 2025 (1y) | ||
| Jules Green | Registered representative | Jun 2025 (1y) | ||
| Robert J Williams | Registered representative | Jun 2025 (1y) | ||
| Kevin Motley | Registered representative | Jun 2025 (1y) | ||
| Christian Leger | Registered representative | Jun 2025 (1y) | ||
| Peyton Asbury Smith | Registered representative | Jun 2025 (1y) | ||
| Jodie Young | Registered representative | Jun 2025 (1y) | ||
| Robert Matthew Starcher | Registered representative | Jun 2025 (1y) | ||
| Ryan Lowney | Registered representative | Jun 2025 (1y) | ||
| Jake Olsen | Registered representative | Jul 2025 (1y) | ||
| Daniel Ryan Dardeau | Registered representative | Jul 2025 (1y) | ||
| Luciano A Mira | Registered representative | Jul 2025 (1y) | ||
| Justin Amen | Registered representative | Jul 2025 (1y) | ||
| Jared Charles Zahn | Registered representative | Jul 2025 (1y) | ||
| Gianni Papazoglou | Registered representative | Jul 2025 (1y) | ||
| Kaley Dee Perkins | Registered representative | Jul 2025 (1y) | ||
| Deana Marie Miller | Registered representative | Jul 2025 (1y) | ||
| Natalie Schieb | Registered representative | Aug 2025 (1y) | ||
| Kendra Rose Kotilinek | Registered representative | Aug 2025 (1y) | ||
| Karl G Matt | Registered representative | Aug 2025 (1y) | ||
| Joseph Young | Registered representative | Aug 2025 (1y) | ||
| Karl Axel Ross | Registered representative | Aug 2025 (1y) | ||
| Theodore Andrew Adams | Registered representative | Aug 2025 (1y) | ||
| Christopher Michael Monk | Registered representative | Aug 2025 (1y) | ||
| Patrick Goodrich | Registered representative | Aug 2025 (1y) | ||
| Alan Mauricio Salinas | Registered representative | Aug 2025 (1y) | ||
| Heady Galvez | Registered representative | Aug 2025 (1y) | ||
| Ross Jacob Price | Registered representative | Aug 2025 (1y) | ||
| Tiffany Hart | Registered representative | Sep 2025 (1y) | ||
| Cecilia Waters | Registered representative | Sep 2025 (1y) | ||
| Martha L Whitmill | Registered representative | Sep 2025 (1y) | ||
| Christopher Noble Saxon | Registered representative | Sep 2025 (1y) | ||
| Ryan A Mulligan | Registered representative | Sep 2025 (1y) | ||
| Steven C Valline | Registered representative | Sep 2025 (1y) | ||
| Luke Mcananey | Registered representative | Sep 2025 (1y) | ||
| Peter B Dreifuss | Registered representative | Sep 2025 (1y) | ||
| Jacob Michael Russell | Registered representative | Sep 2025 (1y) | ||
| Joseph Hormes | Registered representative | Sep 2025 (1y) | ||
| Teel Munson | Registered representative | Sep 2025 (1y) | ||
| Colin S Kirkpatrick | Registered representative | Sep 2025 (1y) | ||
| Tyson Long | Registered representative | Oct 2025 (1y) | ||
| Brendan T Gertz | Registered representative | Oct 2025 (1y) | ||
| Bryant Tzul | Registered representative | Oct 2025 (1y) | ||
| Jadie Driscoll | Registered representative | Oct 2025 (1y) | ||
| Jessica Noel Knutson | Registered representative | Oct 2025 (1y) | ||
| Matthew Golizio | Registered representative | Oct 2025 (1y) | ||
| Debra Anderson | Registered representative | Oct 2025 (1y) | ||
| Austyn Kay | Registered representative | Oct 2025 (1y) | ||
| Karen Jeanette Waters | Registered representative | Oct 2025 (1y) | ||
| Vianne Dorak | Registered representative | Oct 2025 (1y) | ||
| Christian G Strahan | Registered representative | Oct 2025 (1y) | ||
| Logan Blackley | Registered representative | Oct 2025 (1y) | ||
| John L Heacock | Registered representative | Chartered Financial Consultant | Oct 2025 (1y) | |
| George Torruella | Registered representative | Oct 2025 (1y) | ||
| David Edward Armstrong | Registered representative | Oct 2025 (1y) | ||
| Tameron Peden | Registered representative | Nov 2025 (1y) | ||
| Zachary Scott Davenport | Registered representative | Nov 2025 (1y) | ||
| David Tran | Registered representative | Nov 2025 (1y) | ||
| Lawrence Francis | Registered representative | Nov 2025 (1y) | ||
| William H Kim | Registered representative | Nov 2025 (1y) | ||
| Diana Williams | Registered representative | Nov 2025 (1y) | ||
| D'onte Cole | Registered representative | Nov 2025 (1y) | ||
| Estephania Vazquez Ramirez | Registered representative | Nov 2025 (1y) | ||
| Matthew David Bartula | Registered representative | Nov 2025 (1y) | ||
| Tatum Garcia | Registered representative | Nov 2025 (1y) | ||
| Randy Tennant | Registered representative | Nov 2025 (1y) | ||
| David Francis Herrera | Registered representative | Nov 2025 (1y) | ||
| Erin Donnelly | Registered representative | Nov 2025 (1y) | ||
| Justin Cabibi | Registered representative | Nov 2025 (1y) | ||
| Kell S Grady | Registered representative | Nov 2025 (1y) | ||
| Andrew David Peck | Registered representative | Nov 2025 (1y) | ||
| Andrew Dewitt Bateman | Registered representative | Dec 2025 (1y) | ||
| Eric Soto Fernandez | Registered representative | Dec 2025 (1y) | ||
| Megan Mcwhorter | Registered representative | Dec 2025 (1y) | ||
| Gunnar Owen Covinsky | Registered representative | Dec 2025 (1y) | ||
| Michele Veronica Smith | Registered representative | Dec 2025 (1y) | ||
| Ryan Drew Hocker | Registered representative | Dec 2025 (1y) | ||
| Robert Lucas Horswell | Registered representative | Dec 2025 (1y) | ||
| Daniel E Sarmiento | Registered representative | Dec 2025 (1y) | ||
| Kristi Hight | Registered representative | Dec 2025 (1y) | ||
| Celia M Valez | Registered representative | Dec 2025 (1y) | ||
| Alan Pamintuan | Registered representative | Dec 2025 (1y) | ||
| Jeremy Wallen | Registered representative | Dec 2025 (1y) | ||
| Joel Peter Andrews | Registered representative | Dec 2025 (1y) | ||
| Kaylin T Hukill | Registered representative | Dec 2025 (1y) | ||
| Sonja M. Simmons | Registered representative | Dec 2025 (1y) | ||
| James T Vance | Registered representative | Dec 2025 (1y) | ||
| Dr. Michelle Dionne Lloyd | Registered representative | Dec 2025 (1y) | ||
| Sara Amanda Mortus | Registered representative | Dec 2025 (1y) | ||
| Tobechukwu Uchidiuno | Registered representative | Jan 2026 (1y) | ||
| Karly T Hughes | Registered representative | Jan 2026 (1y) | ||
| Michael Hasson | Registered representative | Jan 2026 (1y) | ||
| Gavin F Jeffers | Registered representative | Jan 2026 (1y) | ||
| Kaylie Jerdal | Registered representative | Jan 2026 (1y) | ||
| Gavin Robert La Dore | Registered representative | Jan 2026 (1y) | ||
| Clyde D Jung | Registered representative | Jan 2026 (1y) | ||
| Emily Deese Foster | Registered representative | Jan 2026 (1y) | ||
| James Baker | Registered representative | Jan 2026 (1y) | ||
| Selin K Wei | Registered representative | Jan 2026 (1y) | ||
| Denise Nicole Crawford | Registered representative | Jan 2026 (1y) | ||
| Benjamin D Murray | Registered representative | Jan 2026 (1y) | ||
| Jonathan Luke Randall | Registered representative | Jan 2026 (1y) | ||
| Race A Haas | Registered representative | Jan 2026 (1y) | ||
| Robert Holcomb | Registered representative | Jan 2026 (1y) | ||
| Ryan Colwell | Registered representative | Jan 2026 (1y) | ||
| Jerame Braasch | Registered representative | Jan 2026 (1y) | ||
| Aubrey Lawrence Wilkinson | Registered representative | Jan 2026 (1y) | ||
| Katherine Y Gonzalez | Registered representative | Jan 2026 (1y) | ||
| Jordan David Maryanski | Registered representative | Jan 2026 (1y) | ||
| Matthew J. Michalak | Registered representative | CFP | Feb 2026 (0y) | |
| Greydon Casalinova | Registered representative | Feb 2026 (0y) | ||
| Walker Stephen Young | Registered representative | Feb 2026 (0y) | ||
| Jonathan Ortega | Registered representative | Feb 2026 (0y) | ||
| Matthew C Patane | Registered representative | Feb 2026 (0y) | ||
| Steven Morris | Registered representative | Feb 2026 (0y) | ||
| Anna Elizabeth Swindell | Registered representative | Feb 2026 (0y) | ||
| Medzer St Jean | Registered representative | Mar 2026 (0y) | ||
| James Burke Brown | Registered representative | Mar 2026 (0y) | ||
| Alexander J Hansen | Registered representative | Mar 2026 (0y) | ||
| Jack R Cross | Registered representative | Mar 2026 (0y) | ||
| Jack Weaver Terwilliger | Registered representative | Mar 2026 (0y) | ||
| Dereik W Smith | Registered representative | Mar 2026 (0y) | ||
| Caeleigh Messina | Registered representative | Mar 2026 (0y) | ||
| Julia Nappier | Registered representative | Mar 2026 (0y) | ||
| Eric Lee Cornell | Registered representative | Mar 2026 (0y) | ||
| Jaime A Watson | Registered representative | Mar 2026 (0y) | ||
| Aujulon Trashon Mackey | Registered representative | Mar 2026 (0y) | ||
| Kenneth Fiawoo | Registered representative | Mar 2026 (0y) | ||
| Troy Austin Crone | Registered representative | Mar 2026 (0y) | ||
| Kaley Nicole Ford | Registered representative | Apr 2026 (0y) | ||
| Nyshea Holloday | Registered representative | Apr 2026 (0y) | ||
| Timothy Bayne Perry | Registered representative | Apr 2026 (0y) | ||
| William Shallenberger | Registered representative | Apr 2026 (0y) | ||
| Thomas Theodore Devore | Registered representative | Apr 2026 (0y) | ||
| Kevin Cornell Parker | Registered representative | Apr 2026 (0y) | ||
| Eric Alan Paul | Registered representative | Apr 2026 (0y) | ||
| Eric Sprung | Registered representative | Apr 2026 (0y) | ||
| Gloria Sanchez | Registered representative | Apr 2026 (0y) | ||
| Andre Courtney Brown | Registered representative | Apr 2026 (0y) | ||
| Brenda Wooten | Registered representative | Apr 2026 (0y) | ||
| Joseph James Lacy | Registered representative | Apr 2026 (0y) | ||
| Kadin J Lacasse | Registered representative | Apr 2026 (0y) | ||
| Matthew Douglas Weinert | Registered representative | May 2026 (0y) | ||
| Michael Modisette | Registered representative | CFA | May 2026 (0y) | |
| Lemond Arthur Ponton | Registered representative | May 2026 (0y) | ||
| Timothy A Cooper | Registered representative | May 2026 (0y) | ||
| Eric Michael Kellar | Registered representative | May 2026 (0y) | ||
| Daniel Charles Ingram | Registered representative | May 2026 (0y) | ||
| Zhivago Velasco | Registered representative | May 2026 (0y) | ||
| Brian Patrick Twohig | Registered representative | May 2026 (0y) | ||
| Julian Carter Driver | Registered representative | May 2026 (0y) | ||
| Lance Klaff Davison | Registered representative | May 2026 (0y) | ||
| Mary Isom | Registered representative | May 2026 (0y) | ||
| Rory R Furlani | Registered representative | May 2026 (0y) | ||
| Jory Jason Thompson | Registered representative | May 2026 (0y) | ||
| Candy Martin | Registered representative | May 2026 (0y) | ||
| Chad Michael Houchin | Registered representative | Jun 2026 (0y) | ||
| Garrett Stephen Brown | Registered representative | Jun 2026 (0y) | ||
| Alexis Joel Murillo | Registered representative | Jun 2026 (0y) | ||
| Evan D Alexander | Registered representative | Jun 2026 (0y) | ||
| Pablo Orozco | Registered representative | Jun 2026 (0y) | ||
| Pierce Swithenbank Ernst | Registered representative | Jun 2026 (0y) | ||
| Joseph Daniel Byers | Registered representative | Jun 2026 (0y) | ||
| Robert S Gershon | Registered representative | Jun 2026 (0y) | ||
| Jared Bridgewater | Registered representative | Jun 2026 (0y) | ||
| Robert Frederick Schimeneck | Registered representative | Jun 2026 (0y) | ||
| Ian Macpherson Garrett | Registered representative | Jun 2026 (0y) | ||
| Jonathan Stephan Guaman | Registered representative | Jun 2026 (0y) | ||
| Melisa Avery Komarek Mcclure | Registered representative | Jun 2026 (0y) | ||
| Steven Jenkins | Registered representative | Jun 2026 (0y) | ||
| Nathan Wayne Simmons | Registered representative | Jun 2026 (0y) | ||
| Daniel Hernandez | Registered representative | Jul 2026 (0y) | ||
| Alyssa Dubnansky | Registered representative | Jul 2026 (0y) | ||
| Charles David Harris | Registered representative | Jul 2026 (0y) | ||
| Joshua Indykiewicz | Registered representative | Jul 2026 (0y) | ||
| Tharindu Migara Wanigatunga | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| The Variable Annuity Life Insurance Company | Direct Owner | Nov 1996 | A | 75% or more |
| Corebridge Financial, Inc. | Shareholder | Mar 2013 | B | ≈ 31.64% – 100% via Aig Life Holdings, Inc. |
| Agc Life Insurance Company | Shareholder | Dec 2012 | B | ≈ 56.25% – 100% via The Variable Annuity Life Insurance Company |
| Aig Life Holdings, Inc. | Shareholder | Mar 2013 | B | ≈ 42.19% – 100% via Agc Life Insurance Company |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Corebridge Financial, Inc.: 75% – 100% of Aig Life Holdings, Inc. × 75% – 100% of Agc Life Insurance Company × 75% – 100% of The Variable Annuity Life Insurance Company × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Agc Life Insurance Company: 75% – 100% of The Variable Annuity Life Insurance Company × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Aig Life Holdings, Inc.: 75% – 100% of Agc Life Insurance Company × 75% – 100% of The Variable Annuity Life Insurance Company × 75% – 100% direct ≈ 42.19% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Cambridge Healthcare 401(k) Profit Sharing Plan | Cambridge Healthcare Holdings Llc | 75 | $4.8M | 01/01/2024 |
| Cgr Products Inc. Employees' Profit Sharing Plan And Trust | Cgr Products Inc. | 116 | $15.3M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/13/2026 | 4.4 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Event Detail: 1)PINELLAS COUNTY CIRCUIT COURT, DOCKET/CASE#: 1400A0SXTAP 2)FELONY AMENDED TO MISDEMEANOR 3) GUILTY TO MISDEMEANOR 4) NON-INVESTMENT RELATED - RESISTING ARREST WITHOUT VIOLENCE Disposition: CHARGE AMENDED TO MISDEMEANOR, PLEA OF GUILTY. SERVE 1 YEAR PROBATION. SERVE 70 HOURS COMMUNITY SERVICE PAY ALL COURT FINES AND FEES START DATE OF PENALTY: (04/15/2014) END DATE OF PENALTY: (04/15/2015) IF MONETARY PENALTY/FINE - AMOUNT PAID ($50 MONTH+ 4% SURCHARGE TOWARDS THE COST OF SUPERVISION) DATE MONETARY/PENALTY FINE PAID: (EACH MONTH) Summary: N THE EVENING OF JANUARY 30, 2014 I WAS ON MY WAY HOME FROM WORK A LITTLE AFTER MIDNIGHT. UPON COMING TO A STOP SIGN I MADE A RIGHT-HAND TURN WITHOUT MAKING A COMPLETE STOP. THIS IS WHERE THE OFFICER SAYS HE WAS COMING THE OPPOSITE DIRECTION AND ATTEMPTED TO TURN AROUND TO PURSUE ME FOR MAKING AN INCOMPLETE STOP. THAT EVENING THERE WAS HEAVY RAIN AND I WAS ON A MOTORCYCLE. IF I REMEMBER CORRECTLY THE REPORT SAID THAT HE PURSUED ME AT 30 MILES AN HOUR FOR 15 SECONDS, OR HE PURSUED ME AT 15 MILES AN HOUR FOR 30 SECONDS BECAUSE IT WAS RAINING. I WAS DOING THE SPEED LIMIT, WHICH WAS 45 OR 50 MILES AN HOUR. I HAD NO SENSE THAT HE WAS EVEN BEHIND ME, LET ALONE TRYING TO PULL ME OVER. I DID NOT HEAR HIM, I DID NOT SEE HIM, IA??M CROUCHED DOWN ON MY MOTORCYCLE FOCUSING ON THE ROAD AND THE RAIN. ONCE I ARRIVE HOME, I START GETTING READY FOR BED THEN SOMEONE KNOCKED AT THE DOOR. AT THIS POINT ITA??S AROUND 1 AM. I OPEN THE DOOR AND THERE ARE TWO OFFICERS WHO ASKED ME TO COME OUT AND TALK WITH THEM. WHEN I STEPPED OUTSIDE THEY ASKED ME QUESTIONS ABOUT WHERE I WAS EARLIER THAT NIGHT. I TOLD THEM I JUST GOT HOME FROM WORK. THEY SAID OK AND ASKED ME TO WAIT OUTSIDE WITH THEM UNTIL ANOTHER OFFICER ARRIVED TO TALK WITH ME. THE OTHER OFFICER {THE ONE WHO ATTEMPTED TO PULL ME OVER) FINALLY ARRIVED TO THE HOUSE AND ASKED ME QUESTIONS. HE SAID THAT HE TRIED TO PULL ME OVER AND ASKED WHY I DID NOT STOP FOR HIM. I TOLD HIM I DID NOT SEE HIM OR HEAR HIM TRYING TO PULL ME OVER. HE TOLD ME THAT I WAS LYING TO HIM AND THEN ARRESTED ME. HE TOLD ME THAT HE WAS CHARGING ME WITH A??FLEEING AND EVADING AN OFFICERA? AND THAT IT WAS A FELONY CHARGE. AS HE IS ARRESTING ME HE SAID THAT IF I WOULD HAVE JUST TOLD HIM THE TRUTH HE WOULD NOT BE ARRESTING ME. BUT SINCE I LIED HE IS GOING TO TEACH ME A LESSON. I SPENT THAT NIGHT AND THE NEXT DAY IN JAIL, THEN WAS RELEASED WHEN I PAID BOND. I WAS APPOINTED A PUBLIC DEFENDER GIVEN THAT I COULD NOT AFFORD AN ATTORNEY. IN EXPLAINING MY STORY TO THE PUBLIC DEFENDER HE COUNSELED ME THAT I HAD A VERY LOW CHANCE OF WINNING MY CASE. MORE OFTEN THAN NOT A JUDGE WILL SIDE WITH AN OFFICERS WORD THAN A DEFENDANT'S WORD. HOWEVER, HE SAID THAT HE WOULD TRY TO HELP ME BY TELLING THE PROSECUTOR MY STORY AND GO FROM THERE. ON COURT DAY THE PROSECUTOR WORKED WITH MY PUBLIC DEFENDER SAYING THAT SINCE I AM YOUNG AND STILL HAVE COLLEGE AND A CAREER AHEAD OF ME, HE WOULD REDUCE THE CHARGE FROM A A??FLEEING AND EVADINGA? FELONY; TO A A??RESISTING ARREST WITHOUT VIOLENCEA? MISDEMEANOR. BUT ONLY IF I WOULD PLEAD GUILTY TO THE MISDEMEANOR, PAY ALL THE FEES AND FINES, AND DO 1 YEAR PROBATION.
Allegations: WITHOUT ADMITTING OR DENYING THE FINANCIAL REGULATORY AUTHORITY'S (FINRA) FINDINGS, VALIC FINANCIAL ADVISORS, INC. ("FIRM") SUBMITTED TO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT ("AWC") FOR THE PURPOSE OF PROPOSING A SETTLEMENT OF THE ALLEGED RULE VIOLATIONS DESCRIBED BELOW. FINRA ALLEGED VIOLATIONS OF NASD RULE 3010(A)/(B) AND FINRA RULES 2010, 2330(C), (D) AND (E), 3110(A)/(B) RELATING TO ALLEGED FAILURES TO (1) HAVE A REASONABLE SYSTEM OR PROCESS/PROCEDURES DESIGNED TO ADDRESS, ANALYZE OR REVIEW THE CONFLICTS OF INTEREST IN ITS COMPENSATION PROGRAM OR TO ENSURE THAT BALANCED DISCLOSURES WAS PROVIDED TO THE INVESTORS REGARDING SUCH COMPENSATION PROGRAM, (2) TO MAINTAIN ADEQUATE SYSTEMS AND PROCEDURES TO SUPERVISE THE SALE OF VARIABLE ANNUITIES TO RETAIL BROKERAGE CUSTOMERS, (3) MAINTAIN SUPERVISORY PROCEDURES AND TRAINING MATERIALS THAT PROVIDE REGISTERED REPRESENTATIVES AND PRINCIPALS GUIDANCE OR SUITABILITY CONSIDERATIONS FOR SALES OF DIFFERENT VARIABLE ANNUITY SHARE CLASSES, INCLUDING L-SHARE VARIABLE ANNUITIES, (4) ENFORCE SUPERVISORY PROCEDURES REQUIRING THE THAT CERTAIN EMAILS FLAGGED BY ITS EMAIL SURVEILLANCE SYSTEM BE REVIEWED BY DESIGNATED FIRM SUPERVISORS, (5) ESTABLISH A REASONABLE SYSTEM AND PROCEDURES TO SUPERVISE ITS COMPLAINT REPORTING RESPONSIBILITIES (ALLEGED VIOLATION OF FINRA RULES 4530, 1122 AND 2010 AND FINRA BY-LAWS ARTICLE V, SECTION 2 AND 3), AND (6) FAILED TO ISSUE ACCOUNT NOTICES AT ACCOUNT OPENING AND THEN ON 36-MONTH INTERVALS FOR CERTAIN BROKERAGE CUSTOMERS (ALLEGED VIOLATIONS OF SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 17A-3(A)(17)(I)(B)(1) THEREUNDER, NASD RULES 3110 AND 2110, AND FINRA RULES 4511 AND 2010). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, VALIC FINANCIAL ADVISORS, INC. CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS. THEREFORE, THE FIRM WAS CENSURED AND FINED $1,750,000. Summary: WITHOUT ADMITTING OR DENYING THE FINANCIAL REGULATORY AUTHORITY'S (FINRA) FINDINGS, VALIC FINANCIAL ADVISORS, INC. ("FIRM") SUBMITTED TO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT ("AWC") FOR THE PURPOSE OF PROPOSING A SETTLEMENT OF THE ALLEGED RULE VIOLATIONS DESCRIBED BELOW. FINRA ALLEGED VIOLATIONS OF NASD RULE 3010(A)/(B) AND FINRA RULES 2010, 2330(C), (D) AND (E), 3110(A)/(B) RELATING TO ALLEGED FAILURES TO (1) HAVE A REASONABLE SYSTEM OR PROCESS/PROCEDURES DESIGNED TO ADDRESS, ANALYZE OR REVIEW THE CONFLICTS OF INTEREST IN ITS COMPENSATION PROGRAM OR TO ENSURE THAT BALANCED DISCLOSURES WAS PROVIDED TO THE INVESTORS REGARDING SUCH COMPENSATION PROGRAM, (2) TO MAINTAIN ADEQUATE SYSTEMS AND PROCEDURES TO SUPERVISE THE SALE OF VARIABLE ANNUITIES TO RETAIL BROKERAGE CUSTOMERS, (3) MAINTAIN SUPERVISORY PROCEDURES AND TRAINING MATERIALS THAT PROVIDE REGISTERED REPRESENTATIVES AND PRINCIPALS GUIDANCE OR SUITABILITY CONSIDERATIONS FOR SALES OF DIFFERENT VARIABLE ANNUITY SHARE CLASSES, INCLUDING L-SHARE VARIABLE ANNUITIES, (4) ENFORCE SUPERVISORY PROCEDURES REQUIRING THE THAT CERTAIN EMAILS FLAGGED BY ITS EMAIL SURVEILLANCE SYSTEM BE REVIEWED BY DESIGNATED FIRM SUPERVISORS, (5) ESTABLISH A REASONABLE SYSTEM AND PROCEDURES TO SUPERVISE ITS COMPLAINT REPORTING RESPONSIBILITIES (ALLEGED VIOLATION OF FINRA RULES 4530, 1122 AND 2010 AND FINRA BY-LAWS ARTICLE V, SECTION 2 AND 3), AND (6) FAILED TO ISSUE ACCOUNT NOTICES AT ACCOUNT OPENING AND THEN ON 36-MONTH INTERVALS FOR CERTAIN BROKERAGE CUSTOMERS (ALLEGED VIOLATIONS OF SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 17A-3(A)(17)(I)(B)(1) THEREUNDER, NASD RULES 3110 AND 2110, AND FINRA RULES 4511 AND 2010). WITHOUT ADMITTING OR DENYING THE FINDINGS, VALIC FINANCIAL ADVISORS, INC. CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS. THEREFORE, THE FIRM WAS CENSURED AND FINED $1,750,000.
Allegations: ON JUNE 3, 2019, THE FIRM, WITHOUT ADMITTING OR DENYING ANY FINDINGS OF FACT OR CONCLUSIONS OF LAW, SETTLED A MATTER WITH THE SECURITIES ENFORCEMENT BRANCH ("SEB") OF THE HAWAII DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS. AS PART OF THE SETTLEMENT, THE FIRM ENTERED INTO A CONSENT ORDER WITH THE SEB (THE "CONSENT ORDER"), WHICH STATES THAT THE FIRM FAILED TO SUPERVISE A REGISTERED REPRESENTATIVE WHO HAD SUBMITTED A TRANSACTION WITHOUT PROPER CUSTOMER AUTHORIZATION. PURSUANT TO THE CONSENT ORDER, THE FIRM PAID A FINE OF $10,000. Status: Final Sanction Detail: ON JUNE 3, 2019, THE FIRM, WITHOUT ADMITTING OR DENYING ANY FINDINGS OF FACT OR CONCLUSIONS OF LAW, SETTLED A MATTER WITH THE SECURITIES ENFORCEMENT BRANCH ("SEB") OF THE HAWAII DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS. AS PART OF THE SETTLEMENT, THE FIRM ENTERED INTO A CONSENT ORDER WITH THE SEB (THE "CONSENT ORDER"), WHICH STATES THAT THE FIRM FAILED TO SUPERVISE A REGISTERED REPRESENTATIVE WHO HAD SUBMITTED A TRANSACTION WITHOUT PROPER CUSTOMER AUTHORIZATION. PURSUANT TO THE CONSENT ORDER, THE FIRM PAID A FINE OF $10,000. Summary: ON JUNE 3, 2019, THE FIRM, WITHOUT ADMITTING OR DENYING ANY FINDINGS OF FACT OR CONCLUSIONS OF LAW, SETTLED A MATTER WITH THE SECURITIES ENFORCEMENT BRANCH ("SEB") OF THE HAWAII DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS. AS PART OF THE SETTLEMENT, THE FIRM ENTERED INTO A CONSENT ORDER WITH THE SEB (THE "CONSENT ORDER"), WHICH STATES THAT THE FIRM FAILED TO SUPERVISE A REGISTERED REPRESENTATIVE WHO HAD SUBMITTED A TRANSACTION WITHOUT PROPER CUSTOMER AUTHORIZATION. PURSUANT TO THE CONSENT ORDER, THE FIRM PAID A FINE OF $10,000.
Allegations: AMERICAN INTERNATIONAL GROUP, INC. ("AIG") AND AGL ENTERED INTO A CONSENT ORDER WITH NYSDFS FINDING THAT AGL HAD CONDUCTED AN INSURANCE BUSINESS IN NEW YORK WITHOUT A NEW YORK LICENSE IN CONNECTION WITH ITS PENSION RISK TRANSFER ("PRT") BUSINESS, IN VIOLATION OF INSURANCE LAW § 1102(A). Status: Final Sanction Detail: PURSUANT TO THE ORDER, AGL WILL ALSO TAKE AGREED-UPON ACTIONS WITH RESPECT TO NY BASED PARTICIPANTS IN LEGACY AND FURTURE PRT TRANSACTIONS TO ENSURE ACTIVITIES IN NY ARE APPROPRIATELY LICENSED AND IN COMPLIANCE WITH NY LAW. AGL MUST SUBMIT ANNUAL AFFIDAVITS OF COMPLIANCE WITH THE TERMS OF THE ORDER FOR A PERIOD OF 3 YEARS. AGL PAID THE $12,000,000 CIVIL PENALTY ON 02/05/21. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: ON OCTOBER 2, 2024, AMERICAN GENERAL LIFE INSURANCE COMPANY PAID A $13,500 VOLUNTARY FORFEITURE, $12,500 IN FINES AND $1,000 IN ADMINISTRATIVE COST, TO THE FLORIDA OFFICE OF FINANCIAL REGULATION TO RESOLVE THE DEPARTMENT'S FINDING OF A VIOLATION OF 627.9175(1) AND RULE 69O-137.004 FOR FAILURE TO TIMELY FILE FORM OIR-B2-1094, "REPORT OF GROSS ANNUAL PREMIUMS AND ENROLLMENT DATA FOR HEALTH BENEFIT PLANS ISSUED TO FLORIDA RESIDENTS", WITH THE OIR COVERING THE PRECEDING CALENDAR YEAR ON OR BEFORE APRIL 1, 2024. Status: Final Sanction Detail: TOTAL AMOUNT PAID: $13,500 PAID ON OCTOBER 2, 2024. THE FULL AMOUNT WAS LEVIED AGAINST AMERICAN GENERAL LIFE INSURANCE COMPANY WITH NO PORTION OF THE FINE WAIVED. Summary: ON OCTOBER 2, 2024, AMERICAN GENERAL LIFE INSURANCE COMPANY PAID A $13,500 VOLUNTARY FORFEITURE, $12,500 IN FINES AND $1,000 IN ADMINISTRATIVE COST, TO THE FLORIDA OFFICE OF FINANCIAL REGULATION TO RESOLVE THE DEPARTMENT'S FINDING OF A VIOLATION OF 627.9175(1) AND RULE 69O-137.004 FOR FAILURE TO TIMELY FILE FORM OIR-B2-1094, "REPORT OF GROSS ANNUAL PREMIUMS AND ENROLLMENT DATA FOR HEALTH BENEFIT PLANS ISSUED TO FLORIDA RESIDENTS", WITH THE OIR COVERING THE PRECEDING CALENDAR YEAR ON OR BEFORE APRIL 1, 2024.
Allegations: ON OCTOBER 8, 2024, THE UNITED STATES LIFE INSURANCE COMPANY IN THE CITY OF NEW YORK PAID A $13,500 VOLUNTARY FORFEITURE, $12,500 IN FINES AND $1,000 IN ADMINISTRATIVE COST, TO THE FLORIDA OFFICE OF FINANCIAL REGULATION TO RESOLVE THE DEPARTMENT'S FINDING OF A VIOLATION OF 627.9175(1) AND RULE 69O-137.004 FOR FAILURE TO TIMELY FILE FORM OIR-B2-1094, "REPORT OF GROSS ANNUAL COMPANY DISCOVERED THE BREACH OR THE DATE THE COMPANY PROVIDES PREMIUMS AND ENROLLMENT DATA FOR HEALTH BENEFIT PLANS ISSUED TO FLORIDA RESIDENTS", WITH THE OIR COVERING THE PRECEDING CALENDAR YEAR ON OR BEFORE APRIL 1, 2024. Status: Final Sanction Detail: TOTAL AMOUNT PAID: $13,500 PAID ON OCTOBER 8, 2024. THE FULL AMOUNT WAS LEVIED AGAINST THE UNITED STATES LIFE INSURANCE COMPANY IN THE CITY OF NEW YORK WITH NO PORTION OF THE FINE WAIVED. Summary: ON OCTOBER 8, 2024, THE UNITED STATES LIFE INSURANCE COMPANY IN THE CITY OF NEW YORK PAID A $13,500 VOLUNTARY FORFEITURE, $12,500 IN FINES AND $1,000 IN ADMINISTRATIVE COST, TO THE FLORIDA OFFICE OF FINANCIAL REGULATION TO RESOLVE THE DEPARTMENT'S FINDING OF A VIOLATION OF 627.9175(1) AND RULE 69O-137.004 FOR FAILURE TO TIMELY FILE FORM OIR-B2-1094, "REPORT OF GROSS ANNUAL PREMIUMS AND ENROLLMENT DATA FOR HEALTH BENEFIT PLANS ISSUED TO FLORIDA RESIDENTS", WITH THE OIR COVERING THE PRECEDING CALENDAR YEAR ON OR BEFORE APRIL 1, 2024.
Allegations: ON SEPTEMBER 5, 2024, THE VARIABLE ANNUITY LIFE INSURANCE COMPANY PAID A $16,000 VOLUNTARY FORFEITURE TO THE STATE OF VERMONT DEPARTMENT OF FINANCIAL REGULATION TO RESOLVE THE DEPARTMENT'S FINDING OF A VIOLATION OF V.S.A. § 2435(B)(3) FOR FAILURE TO NOTIFY THE DEPARTMENT OF A DATA BREACH FOR A VERMONT CONSUMER WITHIN 14 DAYS OF THE DATE THE COMPANY DISCOVERED THE BREACH OR THE DATE THE COMPANY PROVIDES NOTICE TO CONSUMERS, WHICHEVER IS EARLIER. Status: Final Sanction Detail: TOTAL AMOUNT PAID: $16,000 PAID ON SEPTEMBER 5, 2024. THE FULL AMOUNT WAS LEVIED AGAINST THE VARIABLE ANNUITY LIFE INSURANCE COMPANY WITH NO PORTION OF THE FINE WAIVED. Summary: ON SEPTEMBER 5, 2024, THE VARIABLE ANNUITY LIFE INSURANCE COMPANY PAID A $16,000 VOLUNTARY FORFEITURE TO THE STATE OF VERMONT DEPARTMENT OF FINANCIAL REGULATION TO RESOLVE THE DEPARTMENT'S FINDING OF A VIOLATION OF V.S.A. § 2435(B)(3) FOR FAILING TO NOTIFY THE DEPARTMENT OF A DATA BREACH FOR A VERMONT CONSUMER WITHIN 14 DAYS OF THE DATE THE COMPANY DISCOVERED THE BREACH OR THE DATE THE COMPANY PROVIDES NOTICE TO CONSUMERS, WHICHEVER IS EARLIER.
Allegations: ON DECEMBER 26, 2023, THE UNITED STATES LIFE INSURANCE COMPANY IN THE CITY OF NEW YORK PAID A $5,146,245.00 CIVIL PENALTY TO THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES TO RESOLVE ALLEGED VIOLATIONS ARISING OUT OF THE STATE'S MARKET CONDUCT EXAMINATION OF THE COMPANY'S INDIVIDUAL LIFE, INDIVIDUAL ANNUITY, AND GROUP INSURANCE BUSINESSES COVERING THE TIME PERIOD OF JANUARY 1, 2012 THROUGH DECEMBER 31, 2016. Status: Final Sanction Detail: TOTAL AMOUNT PAID: $5,146,245.00 PAID ON DECEMBER 26, 2023. THE FULL AMOUNT WAS LEVIED AGAINST THE UNITED STATES LIFE INSURANCE COMPANY IN THE CITY OF NEW YORK WITH NO PORTION OF THE FINE WAIVED. Summary: ON DECEMBER 26, 2023, THE UNITED STATES LIFE INSURANCE COMPANY IN THE CITY OF NEW YORK PAID A $5,146,245.00 CIVIL PENALTY TO THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES TO RESOLVE ALLEGED VIOLATIONS ARISING OUT OF THE STATE'S MARKET CONDUCT EXAMINATION OF THE COMPANY'S INDIVIDUAL LIFE, INDIVIDUAL ANNUITY, AND GROUP INSURANCE BUSINESSES COVERING THE TIME PERIOD OF JANUARY 1, 2012 THROUGH DECEMBER 31, 2016.
Allegations: IN SEPTEMBER 2021, VARIABLE ANNUITY LIFE INSURANCE COMPANY ("VALIC") PAID A $230,820.00 ADMINISTRATIVE FINE TO THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES TO RESOLVE ALLEGED VIOLATIONS ARISING OUT OF THE STATE'S ROUTINE MARKET CONDUCT EXAMINATION OF THE COMPANY'S INDIVIDUAL AND GROUP ANNUITY BUSINESSES, COVERING THE TIME PERIOD OF JANUARY 1, 2012 TO DECEMBER 31, 2016. Status: Final Sanction Detail: TOTAL AMOUNT PAID: $230,820.00 PAID ON 09/17/2021. THE FULL FINE AMOUNT WAS LEVIED AGAINST VALIC WITH NO PORTION OF THE FINE WAIVED. Summary: IN SEPTEMBER 2021, VALIC PAID A $230,820.00 ADMINISTRATIVE FINE TO THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES TO RESOLVE ALLEGED VIOLATIONS ARISING OUT OF THE STATE'S ROUTINE MARKET CONDUCT EXAMINATION OF THE COMPANY'S INDIVIDUAL AND GROUP ANNUITY BUSINESSES, COVERING THE TIME PERIOD OF JANUARY 1, 2012 TO DECEMBER 31, 2016.
Allegations: ON APRIL 6, 2016, VFA FILED AN INSURANCE AGENCY APPLICATION ON BEHALF OF VFA IN THE STATE OF OKLAHOMA. DUE TO AN ADMINISTRATIVE ERROR, THE APPLICATION OMITTED CERTAIN FINRA REGULATORY ACTIONS. VFA AMENDED ITS APPLICATION ON JUNE 3. ON, JUNE 14, THE STATE ISSUED AN ADMINISTRATIVE FINE AGAINST VFA IN THE AMOUNT OF $300 FOR OMITTING THE REGULATORY EVENT IN ITS APPLICATION. Status: Final Sanction Detail: ON APRIL 6, 2016, VFA FILED AN INSURANCE AGENCY APPLICATION ON BEHALF OF VFA IN THE STATE OF OKLAHOMA. DUE TO AN ADMINISTRATIVE ERROR, THE APPLICATION OMITTED CERTAIN FINRA REGULATORY ACTIONS. VFA AMENDED ITS APPLICATION ON JUNE 3. ON, JUNE 14, THE STATE ISSUED AN ADMINISTRATIVE FINE AGAINST VFA IN THE AMOUNT OF $300 FOR OMITTING THE REGULATORY EVENT IN ITS APPLICATION. Summary: VFA AGREED TO SETTLEMENT AND PAID $300 ADMINISTRATIVE FINE.
Allegations: ON APRIL 6, 2016, VFA FILED AN INSURANCE AGENCY APPLICATION IN THE STATE OF ALASKA. VFA AMENDED ITS APPLICATION ON SEPT 30, 2016 TO DISCLOSE A FINE ISSUED BY THE OKLAHOMA INSURANCE DEPARTMENT. ON OCTOBER 7, ALASKA ISSUED AN ADMINISTRATIVE FINE AGAINST VFA IN THE AMOUNT OF $100 FOR FAILING TO TIMELY REPORT THE FINE ISSUED BY THE STATE OF OKLAHOMA. Status: Final Sanction Detail: ON APRIL 6, 2016, VFA FILED AN INSURANCE AGENCY APPLICATION IN THE STATE OF ALASKA. VFA AMENDED ITS APPLICATION ON SEPT 30, 2016 TO DISCLOSE A FINE ISSUED BY THE OKLAHOMA INSURANCE DEPARTMENT. ON OCTOBER 7, ALASKA ISSUED AN ADMINISTRATIVE FINE AGAINST VFA IN THE AMOUNT OF $100 FOR FAILING TO TIMELY REPORT THE FINE ISSUED BY THE STATE OF OKLAHOMA. Summary: VFA SETTLED THE MATTER AND PAID THE $100 FINE.
Allegations: ON APRIL 6, 2016, VFA FILED AN INSURANCE AGENCY APPLICATION IN THE STATE OF LOUISIANA. DUE TO AN ADMINISTRATIVE ERROR, THE APPLICATION OMITTED CERTAIN FINRA REGULATORY EVENTS. VFA AMENDED ITS APPLICATION ON SEPTEMBER 30. ON NOVEMBER 7, THE STATE ISSUED AN ADMINISTRATIVE FINE AGAINST VFA IN THE AMOUNT OF $500 FOR OMITTING PRIOR REGULATORY EVENTS IN THE INITIAL APPLICATION AND FALING TO TIMELY REPORT THE FINE ISSUED BY THE STATE OF OKLAHOMA. Status: Final Sanction Detail: ON APRIL 6, 2016, VFA FILED AN INSURANCE AGENCY APPLICATION IN THE STATE OF LOUISIANA. DUE TO AN ADMINISTRATIVE ERROR, THE APPLICATION OMITTED CERTAIN FINRA REGULATORY EVENTS. VFA AMENDED ITS APPLICATION ON SEPTEMBER 30. ON NOVEMBER 7, THE STATE ISSUED AN ADMINISTRATIVE FINE AGAINST VFA IN THE AMOUNT OF $500 FOR OMITTING PRIOR REGULATORY EVENTS IN THE INITIAL APPLICATION AND FALING TO TIMELY REPORT THE FINE ISSUED BY THE STATE OF OKLAHOMA. Summary: VFA SETTLED THE MATTER AND PAID THE $500 FINE.
Allegations: ON APRIL 6, 2016, VFA FILED AN INSURANCE AGENCY APPLICATION IN THE STATE OF NORTH CAROLINA.DUE TO AN ADMINISTRATIVE ERROR, THE APPLICATION OMITTED CERTAIN FINRA REGULATORY EVENTS. VFA AMENDED ITS APPLICATION ON SEPTEMBER 30. ON DECEMBER 16, THE STATE ISSUED AN ADMINISTRATIVE FINE AGAINST VFA IN THE AMOUNT OF $250 FOR OMITTING THE REGULATORY EVENTS IN THE INITIAL APPLICATION AND FALING TO TIMELY REPORT THE FINE ISSUED BY THE STATE OF OKLAHOMA. Status: Final Sanction Detail: ON APRIL 6, 2016, VFA FILED AN INSURANCE AGENCY APPLICATION IN THE STATE OF NORTH CAROLINA.DUE TO AN ADMINISTRATIVE ERROR, THE APPLICATION OMITTED CERTAIN FINRA REGULATORY EVENTS. VFA AMENDED ITS APPLICATION ON SEPTEMBER 30. ON DECEMBER 16, THE STATE ISSUED AN ADMINISTRATIVE FINE AGAINST VFA IN THE AMOUNT OF $250 FOR OMITTING THE REGULATORY EVENTS IN THE INITIAL APPLICATION AND FALING TO TIMELY REPORT THE FINE ISSUED BY THE STATE OF OKLAHOMA. Summary: VFA SETTLEED THE MATTER AND PAID THE $250 FINE..
Allegations: ON APRIL 6, 2016, VFA FILED AN INSURANCE AGENCY APPLICATION IN THE STATE OF VIRGINIA. DUE TO AN ADMINISTRATIVE ERROR, THE APPLICATION OMITTED CERTAIN FINRA REGULATORY ACTIONS. VFA AMENDED ITS APPLICATION ON SEPTEMBER 30. ON, NOVEMBER 29, THE STATE ISSUED AN ADMINISTRATIVE FINE AGAINST VFA IN THE AMOUNT OF $500 FOR OMITTING THE REGULATORY EVENTS IN THE INITIAL APPLICATION AND FALING TO TIMELY REPORT THE FINE ISSUED BY THE STATE OF OKLAHOMA. Status: Final Sanction Detail: ON APRIL 6, 2016, VFA FILED AN INSURANCE AGENCY APPLICATION IN THE STATE OF VIRGINIA. DUE TO AN ADMINISTRATIVE ERROR, THE APPLICATION OMITTED CERTAIN FINRA REGULATORY ACTIONS. VFA AMENDED ITS APPLICATION ON SEPTEMBER 30. ON, NOVEMBER 29, THE STATE ISSUED AN ADMINISTRATIVE FINE AGAINST VFA IN THE AMOUNT OF $500 FOR OMITTING THE REGULATORY EVENTS IN THE INITIAL APPLICATION AND FALING TO TIMELY REPORT THE FINE ISSUED BY THE STATE OF OKLAHOMA. Summary: VFA SETTLED THE MATTER AND PAID THE $500 FINE.
Allegations: ON APRIL 6, 2016, VALIC FINANCIAL ADVISORS, INC. (VFA) FILED AN INSURANCE AGENCY APPLICATION ON BEHALF IN THE STATE OF OHIO. DUE TO AN ADMINISTRATIVE ERROR, THE APPLICATION FAILED TO INCLUDE CERTAIN VFA REGULATORY DISCLOSURES. UPON RECOGNIZING THE ERROR, VFA AMENDED ITS INSURANCE AGENCY APPLICATION ON SEPTEMBER 30. ON MAY 23, THE OHIO DEPARTMENT OF INSURANCE ISSUED AN ADMINISTRATIVE FINE AGAINST VFA IN THE AMOUNT OF $500 FOR INADVERTENTLY OMITIING REGULA TORY DISCLOSURE IN THE INITIAL APPLICATION. THE ADMINISTRATIVE FINE INVOICE WAS RECEIVED BY VFA ON JUNE 26, 2017, AT WHICH TIME IT WAS PROMPTLY PAID. Status: Final Sanction Detail: FINE OF $500 WAS ISSUED BY THE STATE. VFA MAILED A CHECK TO THE OHIO DEPT. OF INSURANCE ON OR ABOUT JUNE 28, 2017. FINE WAS PAID IN FULL. Summary: VFA PAID THE FINE ISSUED BY THE STATE.
Allegations: ON APRIL 6, 2016, VALIC FINANCIAL ADVISORS, INC. (VFA) FILED AN INSURANCE AGENCY APPLICATION ON BEHALF IN THE STATE OF MAINE. DUE TO AN ADMINISTRATIVE ERROR, THE APPLICATION FAILED TO INCLUDE CERTAIN VFA REGULATORY DISCLOSURES. UPON RECOGNIZING THE ERROR, VFAAMENDED ITS INSURANCE AGENCY APPLICATION ON SEPTEMBER 30. ON JANUARY 23, THE STATE OF MAINE BUREAU OF INSURANCE ISSUED AN ADMINISTRATIVE FINE AGAINST VFA IN THE AMOUNT OF $50 FOR FAILING TO INCLUDE THE REGULATORY DISCLOSURES IN THE INITIAL APPLICATION. THE CORRESPONDENCE WAS NOT RECEIVED BY VFA UNTIL MARCH 22, AT WHICH TIME PAYMENT OF THE FEE WAS ARRANGED. Status: Final Sanction Detail: VFA PAID THE $50 FINE ISSUED BY THE STATE ON 4F1/2017. Summary: ON APRIL 6, 2016, VALIC FINANCIAL ADVISORS, INC. (VFA) FILED AN INSURANCE AGENCY APPLICATION ON BEHALF IN THE STATE OF MAINE. DUE TO AN ADMINISTRATIVE ERROR, THE APPLICATION FAILED TO INCLUDE CERTAIN VFA REGULATORY DISCLOSURES. UPON RECOGNIZING THE ERROR, VFAAMENDED ITS INSURANCE AGENCY APPLICATION ON SEPTEMBER 30. ON JANUARY 23, THE STATE OF MAINE BUREAU OF INSURANCE ISSUED AN ADMINISTRATIVE FINE AGAINST VFA IN THE AMOUNT OF $50 FOR FAILING TO INCLUDE THE REGULATORY DISCLOSURES IN THE INITIAL APPLICATION. THE CORRESPONDENCE WAS NOT RECEIVED BY VFA UNTIL MARCH 22, AT WHICH TIME PAYMENT OF THE FEE WAS ARRANGED.
Allegations: ON 04/06/2016, VALIC FINANCIAL ADVISORS, INC. (VFA) FILED AN INSURANCE AGENCY APPLICATION IN THE STATE OF TENNESSEE. DUE TO AN ADMINISTRATIVE ERROR, THE APPLICATION FAILED TO INCLUDE CERTAIN VFA REGULATORY DISCLOSURES. UPON RECOGNIZING THE ERROR, VFA AMENDED ITS INSURANCE AGENCY APPLICATION ON 09/0/2016. ON 01/30/2018 THE STATE OF TENNESSEE INSURANCE DIVISION ISSUED A CIVIL PENALTY AGAINST VFA IN THE AMOUNT OF $500.00 FOR FAILING TO INCLUDE THE REGULATORY DISCLOSURES IN THE INITIAL APPLICATION. Status: Final Sanction Detail: VFA SIGNED THE AGREED FINAL ORDER AND PAID THE FINE OF $500.00. Summary: VFA PAID THE FINE ISSUED BY THE STATE.
Allegations: DUE TO AN ADMINISTRATIVE ERROR, VFA'S WASHINGTON BUSINESS ENTITY LICENSE LISTED AN INVALID EMAIL ADDRESS. THE STATE USED THAT CONTACT INFORMATION TO SEND CORRESPONDENCE WHICH ULTIMATELY WAS NOT RECEIVED BY VFA. THE STATE ISSUED AN ADMINISTRATIVE FINE AGAINST VFA IN THE AMOUNT OF $250 FOR FAILURE TO HAVE AT LEAST ONE LICENSED AFFILIATE AND FAILURE TO RESPOND TO THOSE INQUIRIES. Status: Final Sanction Detail: VFA SIGNED THE AGREED FINAL ORDER AND PAID THE FINE TOTALING $250.00. Summary: VFA PAID THE FINE ISSUED BY THE STATE.
Allegations: ON JULY 14, 2021, THE LOUISIANNA DEPARTMENT OF INSURANCE FINED VFA $500 FOR FAILING TO TIMELY REPORT VFA'S JANUARY 8, 2021 LETTER OF ACCEPTANCE WAIVER OR CONSENT WITH FINRA. Status: Final Sanction Detail: VFA SUBMITTED A NOTICE AND PAID THE FINE TOTALING $500.00 Summary: VFA PAID THE FINE ISSUED BY LOUISIANNA.
Allegations: ON JUNE 23, 2021, THE DELAWARE DEPARTMENT OF INSURANCE SIGNED A CONSENT ORDER FINING VFA $500 FOR FAILING TO TIMELY REPORT VFA'S JANUARY 8, 2021 LETTER OF ACCEPTANCE WAIVER OR CONSENTWITH FINRA. Status: Final Sanction Detail: VFA AGREED TO THE CONSENT ORDER AND PAID THE FINE TOTALING $500.00 Summary: VFA PAID THE FINE ISSUED BY DELAWARE.
Allegations: ON MARCH 30, 2024, AMERICAN GENERAL LIFE INSURANCE COMPANY PAID AN ADMINISTRATIVE PENALTY OF $2,500 TO THE NEW HAMPSHIRE INSURANCE DEPARTMENT TO RESOLVE ALLEGED VIOLATIONS THAT THE COMPANY VIOLATED NH RSA 400-A:16, II BY FAILING TO RESPOND WITHIN 10 WORKING DAYS TO THE NHID'S JANUARY 10, 2024 REQUEST AND BY FAILING TO RESPOND WITHIN 10 WORKING DAYS TO THE NHID'S JANUARY 30, 2024 REQUEST. Status: Final Sanction Detail: TOTAL AMOUNT PAID: $2,500 PAID ON MARCH 30, 2024. THE FULL AMOUNT WAS LEVIED AGAINST AMERICAN GENERAL LIFE INSURANCE COMPANY WITH NO PORTION OF THE FINE WAIVED. Summary: ON MARCH 30, 2024, AMERICAN GENERAL LIFE INSURANCE COMPANY PAID AN ADMINISTRATIVE PENALTY OF $2,500 TO THE NEW HAMPSHIRE INSURANCE DEPARTMENT TO RESOLVE ALLEGED VIOLATIONS THAT THE COMPANY VIOLATED NH RSA 400-A:16, II BY FAILING TO RESPOND WITHIN 10 WORKING DAYS TO THE NHID'S JANUARY 10, 2024 REQUEST AND BY FAILING TO RESPOND WITHIN 10 WORKING DAYS TO THE NHID'S JANUARY 30, 2024 REQUEST.
Allegations: ON JULY 28, 2020, THE UNITED STATES SECURITIES AND EXCHANGE COMMISSION ("SEC") ISSUED AN ADMINISTRATIVE ORDER AGAINST VALIC FINANCIAL ADVISORS, INC. ("VFA" OR THE "FIRM") REGARDING THE FIRM'S FAILURE TO DISCLOSE TO CERTAIN FLORIDA TEACHERS THAT THE FIRM'S PARENT COMPANY, VALIC, PROVIDED CASH AND OTHER FINANCIAL BENEFITS TO A FOR-PROFIT COMPANY OWNED BY FLORIDA K-12 TEACHERS' UNIONS IN EXCHANGE FOR REFERRING TEACHERS TO PRODUCTS AND SERVICES OFFERED BY VALIC AND THE FIRM, IN VIOLATION OF GENERAL ANTI-FRAUD PROVISIONS OF THE ADVISERS ACT AND THE CASH SOLICITATION RULE THEREUNDER. THE SEC FOUND THAT, AS A RESULT OF THAT CONDUCT AND VFA'S FAILURE TO ADOPT AND IMPLEMENT WRITTEN COMPLIANCE POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT VIOLATIONS OF THE ADVISERS ACT AND THE RULES THEREUNDER, VFA VIOLATED SECTIONS 206(2) AND 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 AND RULES 206(4)-3 AND 206(4)-7. VFA NEITHER ADMITTED NOR DENIED THE SEC'S FINDINGS. Status: Final Sanction Detail: SOLELY FOR THE PURPOSE OF SETTLING THE PROCEEDING, VFA CONSENTED TO A CEASE-AND-DESIST ORDER, A CENSURE, AND TO PAY A CIVIL MONETARY PENALTY OF $20 MILLION, WHICH WAS PAID ON JULY 31, 2020. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: ON JULY 28, 2020, THE UNITED STATES SECURITIES AND EXCHANGE COMMISSION ("SEC") ISSUED AN ADMINISTRATIVE ORDER AGAINST VALIC FINANCIAL ADVISORS, INC. ("VFA") REGARDING CERTAIN VFA MUTUAL FUND AND MUTUAL FUND SHARE CLASS SELECTION PRACTICES. SPECIFICALLY, THE SEC FOUND THAT THE FIRM HAD NOT APPROPRIATELY DISCLOSED CERTAIN CONFLICTS OF INTEREST DUE TO ITS RECEIPT OF REVENUE SHARING, AVOIDANCE OF TRANSACTION FEES, AND RECEIPT OF 12B-1 FEES, IN VIOLATION OF SECTION 206(2) OF THE ADVISERS ACT. THE SEC ALSO FOUND THAT VFA DID NOT ADOPT AND IMPLEMENT WRITTEN COMPLIANCE POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT VIOLATIONS OF THE ADVISERS ACT AND THE RULES THEREUNDER IN CONNECTION WITH ITS MUTUAL FUND SHARE CLASS SELECTION PRACTICES, IN VIOLATION OF SECTION 206(4) OF THE ADVISERS ACT OF 1940 AND RULE 206(4)-7 THEREUNDER. VFA NEITHER ADMITTED NOR DENIED THE SEC'S FINDINGS. Status: Final Sanction Detail: SOLELY FOR THE PURPOSE OF SETTLING THIS PROCEEDING, VFA CONSENTED TO A CEASE-AND-DESIST ORDER, A CENSURE, TO PAY TO AFFECTED INVESTORS DISGORGEMENT OF $13,232,681 AND PREJUDGMENT INTEREST OF $2,211,072, AND TO PAY A $4.5 MILLION CIVIL MONETARY PENALTY, WHICH WAS PAID ON AUGUST 7, 2020. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: FROM JANUARY 1, 2017 THROUGH OCTOBER 31, 2018, VFA FAILED TO ESTABLISH A REASONABLY DESIGNED SYSTEM AND WRITTEN SUPERVISORY PROCEDURES FOR THE SURVEILLANCE OF RATES OF VA EXCHANGES AND FOR CORRECTIVE ACTION IN THE CASE OF INAPPROPRIATE EXCHANGES, IN VIOLATION OF FINRA RULES 2330(D), 3110, AND 2010. DURING THIS TIME, VFA ALSO FAILED TO ESTABLISH A REASONABLY DESIGNED SYSTEM AND SUPERVISORY PROCEDURES FOR THE REVIEW OF TRANSACTIONS WHERE A REGISTERED REPRESENTATIVE RECOMMENDED THAT A CUSTOMER INVEST ADDITIONAL FUNDS INTO AN EXISTING VA, IN VIOLATION OF FINRA RULES 3110 AND 2010. FINALLY, VFA FAILED TO TIMELY REPORT STATISTICAL AND SUMMARY INFORMATION FOR 174 WRITTEN CUSTOMER COMPLAINTS RECEIVED BY THE FIRM BETWEEN JUNE 26, 2017 AND MARCH 20, 2018, IN VIOLATION OF FINRA RULES 4530(D) AND 2010. Status: Final Sanction Detail: ON JANUARY 8, 2021, THE FIRM COMPLETED A LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) WITH FINRA FOR THE PURPOSE OF SETTLING ALLEGED FINRA RULE VIOLATIONS THAT IT FAILED TO (I) ESTABLISH A REASONABLY DESIGNED SYSTEM AND WRITTEN SUPERVISORY PROCEDURES TO MONITOR RATES OF VARIABLE ANNUITY EXCHANGES AND IMPLEMENT CORRECTIVE ACTION IN THE CASE OF INAPPROPRIATE EXCHANGES, VIOLATING FINRA RULES 2330(D), 3110, AND 2010; (II) REASONABLY SUPERVISE RECOMMENDATIONS INVOLVING THE INVESTMENT OF ADDITIONAL FUNDS IN AN EXISTING VARIABLE ANNUITY, VIOLATING FINRA RULES 3110 AND 2010, AND (III) TIMELY REPORT STATISTICAL AND SUMMARY INFORMATION FOR CERTAIN CUSTOMER COMPLAINTS DURING A SPECIFIED PERIOD, VIOLATING FINRA RULES 4530(D) AND 2010. VFA NEITHER ADMITTED NOR DENIED FINRA'S FINDINGS. SOLELY FOR THE PURPOSE OF SETTLING THE PROCEEDING, VFA CONSENTED TO A CENSURE AND A FINE OF $350,000.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- The Variable Annuity Life Insurance Company $10.7B (37% of AUM) May 2026
- National Financial Services (Fidelity) $9.7B (33% of AUM) May 2026
- Valic Trust Company Inc. $6.0B (21% of AUM) May 2026
- Aig Federal Savings Bank $6.0B (28% of AUM) Feb 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 13, 2026.
View current Form ADV (SEC/IAPD) ↗