William F. Zobrist
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.
William Frederick Zobrist III, who also goes by Bill Zobrist, William Frederick III Zobrist, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2001 - April 12, 2018
VALIC FINANCIAL ADVISORS, INC.
November 14, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
November 14, 2000 - April 12, 2018
VALIC FINANCIAL ADVISORS, INC.
October 20, 1993 - November 24, 2000
CETERA WEALTH SERVICES, LLC
December 17, 1992 - October 4, 1993
U.S. BANCORP SECURITIES
February 1, 1991 - November 27, 1992
CAPITAL BROKERAGE CORPORATION
October 30, 1990 - February 4, 1991
PACIFIC FIRST SECURITIES, LTD.
November 22, 1989 - October 26, 1990
UNITED PACIFIC FINANCIAL SERVICES, INC.
February 24, 1989 - November 29, 1989
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
February 22, 1988 - March 2, 1989
INVEST FINANCIAL CORPORATION
August 10, 1982 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
August 10, 1982 - January 27, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
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
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.
