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 |
|---|---|---|---|---|---|---|---|---|
| James Paul Lesniewski | 2534628 | 1 | 10/10/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Nicholas R Brown | 4897665 | 1 | 04/28/2023 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Robert P Philpott | 5448701 | 2 | 03/07/2022 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Cleek | 2811946 | 2 | 01/08/2021 | Customer Dispute | Settled | $12,059.20 | $0.00 | See FINRA Report |
| Jeffrey Alan Hofmann | 5310185 | 1 | 12/29/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Cory Richard Davern | 2945772 | 1 | 12/02/2020 | Customer Dispute | Settled | $235,000.00 | $0.00 | See FINRA Report |
| Marie Turino | 4338836 | 1 | 06/03/2020 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Michael John Ryan | 1251858 | 1 | 06/01/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Russell Warren Broad | 6303123 | 1 | 05/20/2020 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Thomas Newton Smith | 1988190 | 3 | 04/20/2020 | Customer Dispute | Pending | $20,677.10 | $0.00 | See FINRA Report |