Nancie L. Walsh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nancie Lyle Walsh, who also goes by Nancie Ann Griles, Nancie Ann Lyle, was a registered financial professional .
Nancie is a previously registered financial professional and started their career in finance in 1981. Nancie had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2015 - April 6, 2017
VALIC FINANCIAL ADVISORS, INC.
September 3, 2015 - April 6, 2017
VALIC FINANCIAL ADVISORS, INC.
March 9, 2015 - September 1, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 6, 2015 - September 1, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 12, 2006 - July 16, 2013
1ST GLOBAL ADVISORS INC
September 29, 2006 - July 16, 2013
1ST GLOBAL CAPITAL CORP.
June 10, 2005 - September 28, 2006
CITIGROUP GLOBAL MARKETS INC.
November 23, 2004 - June 1, 2005
JBS LIBERTY SECURITIES, INC.
April 15, 2004 - April 22, 2004
ALLIANZ LIFE FINANCIAL SERVICES, LLC
March 14, 2003 - November 21, 2003
VERAVEST INVESTMENTS, INC.
December 16, 1994 - June 20, 2002
MFS FUND DISTRIBUTORS, INC.
March 13, 1994 - December 31, 1994
MFS FINANCIAL SERVICES, INC.
November 19, 1990 - March 1, 1994
LEGG MASON WOOD WALKER, INCORPORATED
September 1, 1981 - November 26, 1990
FIRST UNION CAPITAL MARKETS CORP.
Primary Firm SEC Registration
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 3/25/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
