VALIC FINANCIAL ADVISORS, INC. of HOUSTON, TX is an SEC-registered investment adviser (CRD 42803). Regulatory assets under management: $29.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities, Other.
Showing 25 of 84 people.
| Name | Role | Location |
|---|---|---|
| Cynthia Lea Burnette | CHIEF FINANCIAL OFFICER AND TREASURER | — |
| Michael Fortey | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | — |
| Veronica Lynette Rink | VICE PRESIDENT, BUSINESS ADMINISTRATION | — |
| Krista De Lois Gibson | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | — |
| John Albert Logan | CHIEF OPERATIONS OFFICER | — |
| Theresa H Marciel-Carr | VICE PRESIDENT, FIELD SUPERVISION | — |
| Christopher Chuck Joe | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | — |
| John Erik Norris | SECRETARY | — |
| Julie Ann Cotton-Hearne | SECRETARY | — |
| Joel Leslie Terwilliger | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | — |
| CAVANAUGH MARY LOUISE | DIRECTOR; DIRECTOR & SECRETARY | — |
| CRICKS DANIEL RICHARD | ASSISTANT TAX OFFICER; TAX OFFICER | — |
| NORWOOD THOMAS GERALD | DIRECTOR, CHIEF FINANCIAL OFFICER, AND TREASURER | — |
| VERBERKMOES KRIEN III | VICE PRESIDENT - SALES PRACTICES | — |
| CONNELL JOE HENRY | VICE PRESIDENT | — |
| LYLE DAVID RIDEN | VICE PRESIDENT | — |
| POCH KEITH ALAN | REGIONAL VICE PRESIDENT; VICE PRESIDENT | — |
| BAUM EDWARD JEROME | VICE PRESIDENT | — |
| DENBOER DAVID HENDRICK | SR VP & CHIEF COMPLIANCE OFFICER; SR VP, CHIEF COMPLIANCE OFFICER & SECRETARY; SR VP, DIRECTOR, & CHIEF COMPLIANCE OFFICER | — |
| JORGENSEN JAY WILLIAM | VICE PRESIDENT | — |
| LESSARD RUSSELL JAN | ASSISTANT SECRETARY | — |
| JORDAN ERNEST LINO III | VICE PRESIDENT | — |
| WILTON DARLA GAREE | VP - FIELD DEVELOPMENT; VP-OPERATIONS | — |
| CURRAN EVELYN MARY | PRESIDENT; PRESIDENT, DIRECTOR & CHAIRMAN | — |
| ORR KEVIN FRANK | VICE PRESIDENT | — |
Showing 10 of 31 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-07-02 | regulatory | ON JULY 25, 2025, AMERICAN GENERAL LIFE INSURANCE COMPANY AND THE VARIABLE ANNUITY LIFE INSURANCE COMPANY PAID A COMBINED VOLUNTARY FORFEITURE OF $5,750.00 TO THE ILLINOIS DEPARTMENT OF INSURANCE, $5,598.68 FOR AMERICAN GENERAL LIFE INSURANCE COMPANY AND $151.32 FOR THE VARIABLE ANNUITY LIFE INSURAN… | Final | $6K |
| 2025-07-02 | regulatory | ON JULY 25, 2025, THE VARIABLE ANNUITY LIFE INSURANCE COMPANY AND AMERICAN GENERAL LIFE INSURANCE COMPANY PAID A COMBINED VOLUNTARY FORFEITURE OF $5,750.00 TO THE ILLINOIS DEPARTMENT OF INSURANCE, $151.32 FOR THE VARIABLE ANNUITY LIFE INSURANCE COMPANY AND $5,598.68 FOR AMERICAN GENERAL LIFE INSURAN… | Final | $6K |
| 2025-03-13 | regulatory | ON APRIL 23, 2025, AMERICAN GENERAL LIFE INSURANCE COMPANY PAID $160,500 VOLUNTARY FORFEITURE TO THE UTAH INSURANCE DEPARTMENT TO RESOLVE THE DEPARTMENT'S FINDING THAT THE COMPANY WAS LIABLE FOR VIOLATIONS CONDUCTED BY AN APPOINTED AGENT UNDER UTAH CODE 31A-23A-405(2). | Final | $161K |
| 2024-12-11 | regulatory | FAILURE TO PROVIDE COMPLETE AND TIMELY RESPONSES TO THE DEPARTMENT. | Final | $6K |
| 2024-11-26 | regulatory | ON DECEMBER 17, 2024, THE VARIABLE ANNUITY LIFE INSURANCE COMPANY PAID A $13,500 VOLUNTARY FORFEITURE, $12,500 IN FINES AND $1,000 IN ADMINISTRATIVE COST, TO THE FLORIDA OFFICE OF FINANCIAL REGULATION TO RESOLVE THE DEPARTMENT'S FINDING OF A VIOLATION OF 627.9175(1) AND RULE 69O-137.004 FOR FAILURE… | Final | $14K |
| 2024-09-09 | regulatory | ON OCTOBER 2, 2024, AMERICAN GENERAL LIFE INSURANCE COMPANY PAID A $13,500 VOLUNTARY FORFEITURE, $12,500 IN FINES AND $1,000 IN ADMINISTRATIVE COST, TO THE FLORIDA OFFICE OF FINANCIAL REGULATION TO RESOLVE THE DEPARTMENT'S FINDING OF A VIOLATION OF 627.9175(1) AND RULE 69O-137.004 FOR FAILURE TO TIM… | Final | $14K |
| 2024-09-09 | regulatory | ON OCTOBER 8, 2024, THE UNITED STATES LIFE INSURANCE COMPANY IN THE CITY OF NEW YORK PAID A $13,500 VOLUNTARY FORFEITURE, $12,500 IN FINES AND $1,000 IN ADMINISTRATIVE COST, TO THE FLORIDA OFFICE OF FINANCIAL REGULATION TO RESOLVE THE DEPARTMENT'S FINDING OF A VIOLATION OF 627.9175(1) AND RULE 69O-1… | Final | $14K |
| 2024-08-05 | regulatory | ON SEPTEMBER 5, 2024, THE VARIABLE ANNUITY LIFE INSURANCE COMPANY PAID A $16,000 VOLUNTARY FORFEITURE TO THE STATE OF VERMONT DEPARTMENT OF FINANCIAL REGULATION TO RESOLVE THE DEPARTMENT'S FINDING OF A VIOLATION OF V.S.A. ? 2435(B)(3) FOR FAILURE TO NOTIFY THE DEPARTMENT OF A DATA BREACH FOR A VERMO… | Final | $16K |
| 2024-02-29 | regulatory | ON MARCH 30, 2024, AMERICAN GENERAL LIFE INSURANCE COMPANY PAID AN ADMINISTRATIVE PENALTY OF $2,500 TO THE NEW HAMPSHIRE INSURANCE DEPARTMENT TO RESOLVE ALLEGED VIOLATIONS THAT THE COMPANY VIOLATED NH RSA 400-A:16, II BY FAILING TO RESPOND WITHIN 10 WORKING DAYS TO THE NHID'S JANUARY 10, 2024 REQUES… | Final | $3K |
| 2021-06-14 | regulatory | ON JULY 14, 2021, THE LOUISIANNA DEPARTMENT OF INSURANCE FINED VFA $500 FOR FAILING TO TIMELY REPORT VFA'S JANUARY 8, 2021 LETTER OF ACCEPTANCE WAIVER OR CONSENT WITH FINRA. | Final | $500 |