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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Danielle Major | 4166676 | 2 | 05/28/2021 | 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 | |
| William Ronald Gecks | 5831857 | 1 | 03/29/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Danielle Major | 4166676 | 2 | 03/08/2021 | Judgment / Lien | $0.00 | $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 |