James D. Ramsey
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.
James Daniel Ramsey III, who also goes by Dan Ramsey, James Daniel Ramsey, Jamesdaniel Ramseyiii, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 13 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 87, Series 86, Series 79, Series 7, Series 5, Series 15, Series 3 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
July 12, 2023 - January 22, 2025
VALIC FINANCIAL ADVISORS, INC.
July 12, 2023 - January 22, 2025
VALIC FINANCIAL ADVISORS, INC.
August 23, 2016 - May 12, 2023
VALIC FINANCIAL ADVISORS, INC.
October 14, 2014 - August 27, 2015
OSAIC SERVICES, INC.
October 13, 2014 - August 27, 2015
OSAIC SERVICES, INC.
January 23, 2013 - October 13, 2014
VALIC FINANCIAL ADVISORS, INC.
November 20, 2012 - May 12, 2023
VALIC FINANCIAL ADVISORS, INC.
January 4, 2012 - June 8, 2012
ESPOSITO SECURITIES, LLC
June 17, 2010 - January 3, 2012
STONEGATE CAPITAL MARKETS, INC.
May 14, 2009 - September 15, 2009
ANDREW GARRETT INC.
March 14, 2005 - May 14, 2009
NEXCORE CAPITAL, INC.
November 24, 1998 - July 19, 1999
PENSON FINANCIAL SERVICES, INC.
October 29, 1996 - July 9, 1998
HARRIS WEBB & GARRISON, INC.
September 12, 1995 - October 31, 1995
BOLTON GLOBAL CAPITAL
May 11, 1994 - September 22, 1995
WILLIAMS MACKAY JORDAN & CO., INCORPORATED
August 25, 1989 - January 24, 1994
PRUDENTIAL EQUITY GROUP, LLC
May 22, 1986 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
July 26, 1984 - August 19, 1985
MORGAN STANLEY DW INC.
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 5
Date: 8/6/1987
Interest Rate Options ExaminationSeries 15
Date: 7/29/1987
Foreign Currency Options ExaminationCurrent 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.
