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 |
|---|---|---|---|---|---|---|---|---|
| Ava Rowena Overman | 5546316 | 1 | 01/16/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Newton Smith | 1988190 | 3 | 01/09/2009 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Kevin Phillip Mc Nair | 1096331 | 1 | 01/06/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carrie A McNair | 2016777 | 1 | 01/06/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gamaliel Michaud | 2689719 | 3 | 12/30/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sean Placido Rodriguez | 2001875 | 5 | 11/26/2008 | Customer Dispute | Settled | $950,000.00 | $0.00 | See FINRA Report |
| Raelynn A Harlach | 5374210 | 1 | 10/27/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Shane Steven Hurst | 4358304 | 2 | 10/09/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Henry Gerlick | 1536325 | 1 | 10/06/2008 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Mark Francis Roberts | 2752866 | 1 | 10/03/2008 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |