Michael A. Watt
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.
Michael Andrew Watt was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 11 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2010 - January 9, 2014
VALIC FINANCIAL ADVISORS, INC.
June 9, 2010 - January 9, 2014
VALIC FINANCIAL ADVISORS, INC.
June 1, 2001 - January 17, 2002
VOYA FINANCIAL ADVISORS, INC.
February 14, 2001 - June 6, 2001
ONEAMERICA SECURITIES, INC.
February 14, 2001 - June 6, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
November 30, 2000 - June 20, 2001
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 2, 2000 - January 5, 2001
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
April 18, 2000 - October 5, 2000
METROPOLITAN LIFE INSURANCE COMPANY
April 18, 2000 - October 5, 2000
MSI FINANCIAL SERVICES, INC.
November 27, 1996 - March 31, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
November 1, 1988 - December 31, 1993
F & G SECURITIES, INC.
June 19, 1984 - November 17, 1988
PRUCO SECURITIES, 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.
