CRD #42803 · FINRA BrokerCheck + SEC IAPD

Valic Financial Advisors, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Valic Financial Advisors, Inc. ranks #311 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #5 of 189 on the same disclosure sort used on the state browse page. Valic Financial Advisors, Inc. carries 20 BrokerCheck disclosures across 450 branch offices - light load for a large firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
450
branch offices
20
disclosures
#311 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 42803 Valic Financial Advisors, Inc.

Valic Financial Advisors, Inc. · Grade B · 20 disc · 0.04/office · Large firm

  • CRD 42803
  • GRADE B
  • DISC 20
  • REG 17
  • ARB 3
  • CIV 0
  • BRANCH 450
  • PER-OFF 0.04
  • RANK #311 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: World Investments, LLC (0.04 disc/office)

World Investments, LLC0.04Santander Securities LLC0.05Kovack Securities Inc.0.04Valic Financial Adv… (this)0.04
Disclosures per office among large firm peers (lower is cleaner)

Valic Financial Advisors, Inc. ranks #311 of 20,055 by disclosure count among graded broker-dealers; light load at 0.04 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

450 offices

FINRA: Large firm

Total disclosures

20 events

On FINRA BrokerCheck

Regulatory events

17 actions

85% of all disclosures

Disclosures per office

0.04 per office

20 ÷ 450 offices

Valic Financial Advisors, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 93% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 17
Arbitrations 3
Civil Events 0
Total 20

Counts for Valic Financial Advisors, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 17 Arbitration 3 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Houston, TX
CRD Number
42803

Lower disclosures per office

Valic Financial Advisors, Inc. in the heavier-disclosure third

Valic Financial Advisors, Inc. carries 20 BrokerCheck disclosures across 450 branch offices - a heavier-third raw book among graded firms (#311 of 20,055). Regulator-initiated events are 85% of the book (17 regulatory / 3 arbitration / 0 civil).

Valic Financial Advisors, Inc. runs 0.04 disclosures per branch office (cleaner than 93% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Valic Financial Advisors, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Texas cohort · 4.95× state average

Valic Financial Advisors, Inc. sits above the Texas disclosure average

Valic Financial Advisors, Inc. reports 20 BrokerCheck disclosures, 4.95× the Texas average of 4.0 across 189 graded firms with a principal-office state on file.

In Texas, 110 firms carry Grade A and 1 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Texas state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Valic Financial Advisors, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Valic Financial Advisors, Inc. ranks #311 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #5 of 189 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Valic Financial Advisors, Inc.?
A grade of B reflects Valic Financial Advisors, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 20 total disclosures across 450 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Valic Financial Advisors, Inc. have?
Valic Financial Advisors, Inc. has 20 total FINRA disclosures, including 17 regulatory events, 3 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Valic Financial Advisors, Inc.?
Valic Financial Advisors, Inc. operates 450 branch offices and is classified by FINRA as a large firm, registered in TX (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Valic Financial Advisors, Inc.'s disciplinary record?
You can verify Valic Financial Advisors, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 42803. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Valic Financial Advisors, Inc.'s 20 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Valic Financial Advisors, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Valic Financial Advisors, Inc. carries 20 disclosures across 450 branch offices (about 0.04 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Valic Financial Advisors, Inc., both outside TX so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • World Investments, LLC (NJ) - 0.04 disclosures/office, nearest large firm peer to Valic Financial Advisors, Inc.'s 0.04
  • Santander Securities LLC (MA) - 0.05 disclosures/office, nearest large firm peer to Valic Financial Advisors, Inc.'s 0.04
  • Kovack Securities Inc. (FL) - 0.04 disclosures/office, nearest large firm peer to Valic Financial Advisors, Inc.'s 0.04
  • Firms in TX - state roster that includes Valic Financial Advisors, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Valic Financial Advisors, Inc..
  • Reading BrokerCheck Reports - How Valic Financial Advisors, Inc.'s 0.04 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Valic Financial Advisors, Inc..
  • Compare firms - put Valic Financial Advisors, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.