Michael B. Kormos
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.
Michael Brian Kormos, who also goes by Michael B Kormos, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 15 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2012 - July 21, 2017
VALIC FINANCIAL ADVISORS, INC.
February 27, 2012 - July 21, 2017
VALIC FINANCIAL ADVISORS, INC.
June 20, 2011 - February 14, 2012
LPL FINANCIAL LLC
June 20, 2011 - February 14, 2012
LPL FINANCIAL LLC
October 29, 2010 - June 21, 2011
CUNA BROKERAGE SERVICES, INC.
October 28, 2010 - June 21, 2011
CUNA BROKERAGE SERVICES, INC.
November 1, 2004 - September 22, 2010
CUSO FINANCIAL SERVICES, L.P.
November 1, 2004 - September 22, 2010
CUSO FINANCIAL SERVICES, L.P.
July 8, 2002 - November 2, 2004
IFMG SECURITIES, INC.
April 9, 2002 - November 2, 2004
IFMG SECURITIES, INC.
October 30, 2001 - January 3, 2002
CONSECO EQUITY SALES, INC.
October 5, 1998 - January 1, 1999
GRIFFIN FINANCIAL SERVICES
January 2, 1998 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 14, 1997 - February 12, 2001
WAMU INVESTMENTS, INC.
November 21, 1996 - July 14, 1997
ASB FINANCIAL SERVICES
June 22, 1995 - December 31, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
October 25, 1993 - February 1, 1995
WELLS FARGO SECURITIES INC.
November 29, 1991 - October 25, 1993
MARKETING ONE SECURITIES, INC.
September 22, 1988 - October 22, 1991
U.S. BANCORP ADVISORS, LLC
January 23, 1986 - September 8, 1988
MORGAN STANLEY DW 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.
