Patricia A. Winans-korem
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.
Patricia Ann Winans-korem, who also goes by Patricia Ann Winans, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1987. Patricia had worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 55, Series 7, Series 27, 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
June 11, 2012 - July 28, 2016
VALIC FINANCIAL ADVISORS, INC.
February 7, 2012 - July 28, 2016
VALIC FINANCIAL ADVISORS, INC.
October 10, 2011 - January 30, 2012
SIGNATOR INVESTORS, INC.
July 6, 2011 - September 26, 2011
APB FINANCIAL GROUP, LLC
July 31, 1996 - January 20, 1997
BHF SECURITIES CORPORATION
February 20, 1996 - July 31, 1996
CHARLES JORDAN & CO., LLC
December 21, 1992 - May 18, 2010
MAGNA
September 18, 1992 - January 5, 1993
SHARPE CAPITAL, INC.
January 22, 1992 - July 7, 1992
FAB SECURITIES OF AMERICA, INC.
November 14, 1990 - December 20, 1991
M. R. BEAL & COMPANY
March 5, 1990 - October 26, 1990
GREENWICH PARTNERS, LLC
June 8, 1989 - November 8, 1989
DAIN RAUSCHER INCORPORATED
August 18, 1987 - August 23, 1988
RAUSCHER PIERCE REFSNES, INC.
January 30, 1987 - September 4, 1987
MPACT BROKERS 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
Series 55
Date: 2/3/1999
Limited Representative-Equity Trader ExamCurrent 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.
