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 |
|---|---|---|---|---|---|---|---|---|
| Scott Alan Meinert | 5489374 | 1 | 07/24/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Julio Cesar Sarmiento | 4406302 | 1 | 07/22/2013 | Customer Dispute | Denied | $22,956.60 | $0.00 | See FINRA Report |
| Kim Baughman Short | 4565902 | 4 | 06/18/2013 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Michael Wade Waller | 4311132 | 1 | 06/06/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Derek Jamison Loudenback | 4747512 | 2 | 06/04/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Elton Sigrest Thomas | 4382078 | 2 | 03/13/2013 | Customer Dispute | Denied | $34,800.50 | $0.00 | See FINRA Report |
| David Benjamin Dobin | 4224203 | 1 | 01/23/2013 | Customer Dispute | Denied | $6,116.45 | $0.00 | See FINRA Report |
| Brian Dubose | 7071291 | 1 | 01/09/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Placido Rodriguez | 2001875 | 5 | 12/18/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen James Gaubert | 4236380 | 1 | 08/31/2012 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |