Our Staff has compiled our research into a database of FINRA Broker Disclosures for Valic Financial Advisors, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Albert Mazurkiewicz | 7342042 | 1 | 10/19/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kathleen Sue Dennis | 2083061 | 1 | 10/05/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carnell Anthony Freeman | 4750189 | 1 | 05/11/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert P Philpott | 5448701 | 2 | 03/07/2022 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Sarah Jane Odum | 7186404 | 1 | 12/27/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kimberly Shannon Wilder | 1900683 | 1 | 09/16/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kathy Leanne Rosado | 2810480 | 2 | 07/23/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James S Young | 4813049 | 1 | 06/14/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marcus Eric Egan | 6090569 | 1 | 04/29/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kim Baughman Short | 4565902 | 4 | 04/26/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |