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 |
|---|---|---|---|---|---|---|---|---|
| Daniel John Nowak | 1941545 | 5 | 06/24/2020 | Financial | Final | $0.00 | $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 |
| James Chad Watt | 2499030 | 1 | 05/08/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Newton Smith | 1988190 | 3 | 04/20/2020 | Customer Dispute | Pending | $20,677.10 | $0.00 | See FINRA Report |
| Joseph Valdes | 3059653 | 2 | 04/03/2020 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Dana Leigh Hodges | 6460166 | 3 | 03/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Kevin Hanner | 1776263 | 1 | 03/20/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jerry Lopez | 2949340 | 1 | 03/19/2020 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |