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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Gerard Mullins | 2045533 | 2 | 03/18/2003 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Chandra Rochell Rollins | 6404379 | 1 | 03/14/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip Bruce Spear | 2739957 | 1 | 11/05/2002 | Customer Dispute | Closed-No Action | $48,000.00 | $0.00 | See FINRA Report |
| Kira Hill | 5440669 | 2 | 10/29/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Alain Sier | 2383247 | 2 | 10/25/2002 | Customer Dispute | Settled | $14,232.00 | $0.00 | See FINRA Report |
| John Henry Roethle | 1619118 | 1 | 10/15/2002 | Customer Dispute | Settled | $512,136.00 | $0.00 | See FINRA Report |
| Jennifer Ann Garza | 2583235 | 1 | 10/07/2002 | Customer Dispute | Denied | $384,798.00 | $0.00 | See FINRA Report |
| Richard Charles Buckland | 5920508 | 2 | 09/01/2002 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Travis Clemente Rich | 6732007 | 2 | 07/19/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Travis Clemente Rich | 6732007 | 2 | 07/09/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |