TD
Thomas A. Ditta
VALIC FINANCIAL ADVISORS
MONROE, LA
Some features on this profile are disabled
CRD#: 1304018
TD
Professional summary
Thomas Anthony Ditta, who also goes by Thomas Ditta, Tommy Ditta, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Monroe, Louisiana.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Thomas has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Ditta | Tommy Ditta
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.
FRENCHMAN'S BEND COUNTRY CLUBMONROE, LA. 71203 POSITION: part time employee NATURE: golf course INVESTMENT RELATED: No NUMBER OF HOURS: 35 SECURITIES TRADING HOURS: 0 START DATE: 06/09/2023 ADDRESS: 1484 Frenchmans Bend Rd, Monroe LA 71203, United States DESCRIPTION: work on Saturday and Sunday afternoon in Pro Shop and on course riding in golf cart making sure play moves in orderly fashion. AGIA POSITION: Agent NATURE: Non-Securities insurance products INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/04/2023 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Appointed as Agent to sell Non-Securities Insurance products for AIGA
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Anthony Ditta's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Anthony Ditta's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 5, 2023 - Present
VALIC FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 42803
MONROE, LA
Current
December 5, 2023 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 333 Texas Street Suite 1300, Shreveport, LA 71101RIA
BD
CRD#: 42803
SHREVEPORT, LA
Past
May 10, 2022 - September 20, 2023
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Monroe, LA
Past
May 10, 2022 - September 20, 2023
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Monroe, LA
Past
January 21, 2014 - April 29, 2022
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
BASTROP, LA
Past
April 11, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
BASTROP, LA
Past
April 11, 2013 - April 29, 2022
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
BASTROP, LA
Past
March 30, 2011 - January 31, 2013
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
BATON ROUGE, LA
Past
February 9, 2011 - January 31, 2013
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
BATON ROUGE, LA
Past
February 24, 2000 - August 5, 2003
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
DALLAS, TX
Past
July 14, 1998 - October 2, 1998
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
June 10, 1991 - August 19, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
June 10, 1991 - August 19, 1991
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(4/2/2024)
IAR
Arkansas(4/4/2024)
RR
Louisiana(12/5/2023)
IAR
Louisiana(12/5/2023)
RR
Mississippi(4/2/2024)
IAR
Mississippi(4/2/2024)
RR
Texas(4/2/2024)
IAR
Texas(4/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
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
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.
