Jay T. Golden
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.
Jay Todd Golden was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1984. Jay had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2016 - September 14, 2016
VALIC FINANCIAL ADVISORS, INC.
June 1, 2016 - September 14, 2016
VALIC FINANCIAL ADVISORS, INC.
March 1, 2012 - October 23, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 10, 2012 - October 23, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 16, 2011 - August 22, 2011
BB&T INVESTMENT SERVICES, INC.
August 16, 2011 - August 22, 2011
BB&T INVESTMENT SERVICES, INC.
October 5, 2009 - August 16, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - August 16, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
July 29, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
May 22, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
July 31, 1993 - May 28, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - May 28, 2009
CITIGROUP GLOBAL MARKETS INC.
October 11, 1985 - July 31, 1993
LEHMAN BROTHERS INC.
October 26, 1984 - October 29, 1985
SSI SECURITIES CORP.
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.
