Thomas J. Baringer

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CRD#: 1273028

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.

Thomas Jeffrey Baringer, who also goes by Tom Baringer, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Baringer

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.

STRUTHERS ROTARY POSITION: Executive Secretary NATURE: Board member of club of Rotary International. non profit organization. no members receive compensation INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 11/26/2019 ADDRESS: 110 Poland Ave, Struthers OH 44471, United States DESCRIPTION: Assist President in daily function. Handle reporting to Rotary International of membership. Assist club secretary. NO compensation received 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

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 7, 2005 - January 6, 2023

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

INDEPENDENCE, OH

Past

May 26, 2005 - January 6, 2023

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

INDEPENDENCE, OH

Past

January 1, 2000 - May 25, 2005

OSAIC FA, INC.

RIA

CRD#: 3978

POLAND, OH

Past

October 21, 1986 - January 3, 1989

LINCOLN NATIONAL PENSION INSURANCE COMPANY

CRD#: 10293

Past

October 21, 1986 - May 25, 2005

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

October 21, 1986 - May 25, 2005

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

June 22, 1984 - October 21, 1986

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

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".

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803 / SEC#: 801-54952, 8-50018

RIA

Registered Investment Advisory firm - SEC (10/10/1997 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/20/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/21/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803 / SEC#: 801-54952, 8-50018

RIA

Registered Investment Advisory firm - SEC (10/10/1997 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM BROCHURE FOR THE GUIDED PORTFOLIO SERVICES PROGRAM- VC23988 (9/8/2025)

MIP UNIFIED MANAGED ACCOUNT PROGRAM (3/28/2025)

FINANCIAL PLANNING & CONSULTING SERVICES BROCHURE (3/28/2025)

WRAP FEE PROGRAM BROCHURE FOR VFA MANAGED INVESTMENT PROGRAM - VC23987 (3/28/2025)

WRAP FEE PROGRAM BROCHURE FOR THE GUIDED PORTFOLIO ADVANTAGE PROGRAM - VC38857 (3/28/2025)

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	Cover Page	Report
01/27/2025	Cover Page	Report
04/29/2024	Cover Page	Report
04/28/2023	Cover Page	Report

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.

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Thomas J. Baringer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VALIC FINANCIAL ADVISORS, INC.

OSAIC FA, INC.

LINCOLN NATIONAL PENSION INSURANCE COMPANY

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

INVESTORS BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

VALIC FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/20/1997

SIE

Date: 10/1/2018

Series 6

Date: 6/21/1984

Current Firm

VALIC FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

VALIC FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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