EN
Elizabeth A. Newman
VALIC FINANCIAL ADVISORS
BERKELEY HEIGHTS, NJ 07922
Some features on this profile are disabled
CRD#: 1022190
EN
Professional summary
Elizabeth Anne Newman, who also goes by Elizabeth Anne Jacob, Betsy Newman, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Berkeley Heights, New Jersey.
Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Elizabeth has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 15, Series 7, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Elizabeth Anne Jacob | Betsy Newman
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
AGIA POSITION: Agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/17/2022 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Non-Securities Insurance Products
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth Anne Newman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth Anne Newman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 1, 2013 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 300 Connell Drive Ste 3300, Berkeley Heights, NJ 07922RIA
BD
CRD#: 42803
BERKELEY HEIGHTS, NJ
Current
May 1, 2013 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 300 Connell Drive Ste 3300, Berkeley Heights, NJ 07922RIA
BD
CRD#: 42803
BERKELEY HEIGHTS, NJ
Past
February 19, 2013 - May 2, 2013
AEGIS CAPITAL CORP.
RIA
CRD#: 15007
HOLMDEL, NJ
Past
February 19, 2013 - May 2, 2013
AEGIS CAPITAL CORP.
BD
CRD#: 15007
HOLMDEL, NJ
Past
June 21, 2012 - February 25, 2013
MORGAN STANLEY
RIA
CRD#: 149777
SHREWSBURY, NJ
Past
June 21, 2012 - February 25, 2013
MORGAN STANLEY
BD
CRD#: 149777
SHREWSBURY, NJ
Past
September 6, 2011 - November 18, 2011
MORGAN STANLEY
BD
CRD#: 149777
RED BANK, NJ
Past
February 14, 2011 - August 1, 2011
DME SECURITIES, LLC
BD
CRD#: 112584
NEW YORK, NY
Past
June 15, 2007 - May 28, 2009
TD PRIME SERVICES LLC
BD
CRD#: 1914
NEW YORK, NY
Past
January 1, 1989 - July 19, 2007
LABRANCHE FINANCIAL SERVICES, LLC
BD
CRD#: 7432
NEW YORK, NY
Past
June 7, 1983 - December 5, 1988
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
Past
March 16, 1982 - May 31, 1983
BECKER PARIBAS INCORPORATED
BD
CRD#: 7635
Past
December 11, 1981 - March 18, 1982
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(1/9/2015)
IAR
Florida(1/15/2015)
RR
Maryland(3/10/2015)
IAR
Maryland(3/16/2015)
RR
New Jersey(5/1/2013)
IAR
New Jersey(5/1/2013)
RR
New York(6/11/2013)
IAR
New York(8/16/2021)
RR
North Carolina(8/15/2022)
IAR
North Carolina(8/18/2022)
RR
Pennsylvania(6/11/2013)
IAR
Pennsylvania(6/12/2013)
RR
South Carolina(10/17/2018)
IAR
South Carolina(10/19/2018)
RR
Virginia(1/19/2022)
IAR
Virginia(1/20/2022)
RR
Washington(10/15/2019)
IAR
Washington(10/17/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/26/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 15
Date: 12/6/1982
Foreign Currency Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2919 Allen Parkway L3-20, Houston, TX 77019
Mailing Address
2919 Allen Parkway L3-20, Houston, TX 77019-2158
Phone number
(866) 544-4968
Established
Texas since 11/18/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,633
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.
