JB
Julianne E. Butler
VALIC FINANCIAL ADVISORS
Lakewood, CO 80228
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CRD#: 1443695
JB
Professional summary
Julianne Elizabeth Butler is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Lakewood, Colorado.
Julianne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Julianne has worked at 6 firms and has passed the Series 66, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
REAL ESTATE LICENSE, WILL MAINTAIN TO BUY/SELL PROPERTY FOR PERSONAL USE ONLY.///PRO-REHAB PROPERTIES LLC. 323 NORTH COMMERCIAL ST. TRINIDAD CO 81082. OWNER. 05/2004-PRESENT. 5 HRS/WK, MEDICAL BILLING FOR CURRENT OPERATOR WHO HAS LEASED THE BUSINESS AND REAL ESTATE FROM MY COMPANIES. BUSINESS CONDUCTED EVEN/WEEKENDS.WORLDSEEKER TRAVEL, LLC.(OWNER), PERIODIC TRAVEL PLANNING FOR FAMILY AND FRIENDS APPROX. 2 HOURS PER MONTH. WORLDSEEKER TRAVEL, LLC. POSITION: Owner NATURE: Travel Agency INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 06/15/2011 ADDRESS: 1569 South Forest St, Denver CO 80222, United States DESCRIPTION: Book travel such as cruises, tours, etc. 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
CRS (Client Relationship Summary) - RIA
Click below to view Julianne Elizabeth Butler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Julianne Elizabeth Butler'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
April 25, 2014 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 165 South Union Boulevard Suite 600, Lakewood, CO 80228RIA
BD
CRD#: 42803
Lakewood, CO
Current
April 24, 2014 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 165 South Union Boulevard Suite 600, Lakewood, CO 80228RIA
BD
CRD#: 42803
Lakewood, CO
Past
May 4, 2009 - May 16, 2012
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
CENTENNIAL, CO
Past
April 6, 2009 - May 16, 2012
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
CENTENNIAL, CO
Past
October 15, 2003 - November 12, 2004
OSAIC FA, INC.
RIA
CRD#: 3978
DENVER , CO
Past
October 15, 2003 - November 12, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
October 15, 2003 - November 12, 2004
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
September 18, 2002 - October 6, 2003
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
GREENWOOD VILLAGE, CO
Past
April 2, 2001 - October 6, 2003
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
April 2, 2001 - October 6, 2003
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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
California(4/24/2014)
RR
Colorado(4/25/2014)
IAR
Colorado(4/25/2014)
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.
