Janie M. Taylor
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.
Janie Mccaye Taylor, who also goes by Janie Mccaye Caye, Janie M Crosson, Caye Taylor, Caye Tombaugh, Janie M Tombaugh, was a registered financial professional .
Janie is a previously registered financial professional and started their career in finance in 1984. Janie had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2015 - December 20, 2024
VALIC FINANCIAL ADVISORS, INC.
October 2, 2015 - December 20, 2024
VALIC FINANCIAL ADVISORS, INC.
June 3, 2013 - September 25, 2015
MORGAN STANLEY
June 3, 2013 - September 25, 2015
MORGAN STANLEY
August 15, 2006 - June 10, 2013
UBS FINANCIAL SERVICES INC.
February 17, 2004 - June 10, 2013
UBS FINANCIAL SERVICES INC.
January 28, 2003 - February 26, 2004
A. G. EDWARDS & SONS, INC.
July 13, 2001 - February 4, 2003
WELLS FARGO CLEARING SERVICES, LLC
September 1, 2000 - August 9, 2001
UBS FINANCIAL SERVICES INC.
April 14, 1997 - August 30, 2000
CIBC WORLD MARKETS CORP.
March 20, 1995 - March 27, 1997
UBS FINANCIAL SERVICES INC.
March 24, 1993 - February 17, 1995
CIBC WORLD MARKETS CORP.
June 8, 1992 - March 19, 1993
WELLS FARGO CLEARING SERVICES, LLC
May 8, 1992 - May 20, 1992
CAPNET SECURITIES CORPORATION
November 14, 1985 - January 4, 1988
A. G. EDWARDS & SONS, INC.
July 25, 1984 - October 28, 1985
ROTAN MOSLE 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
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.
