MS
Mark L. Soderquist
VALIC FINANCIAL ADVISORS
Austin, TX 78731
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CRD#: 1642851
MS
Professional summary
Mark L Soderquist, who also goes by Mark Soderquist, Mark Lloyd Soderquist, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Austin, Texas.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Mark has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 3, Series 44 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Soderquist | Mark Lloyd Soderquist
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.
AGIA POSITION: AGENT NATURE: NON-SECURITIES INSURANCE PRODUCTS INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 02/10/2025 ADDRESS: 2929 ALLEN PARKWAY, HOUSTON TX 77019, United States DESCRIPTION: APPOINTED AS AGENT TO SELL NON-SECURITIES INSUANCE PRODUCTS FOR AGIA INSPIRED DELIVERY LLC POSITION: Delivery Driver NATURE: Delivery Driver to Homes and Businesses. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2025 ADDRESS: 2121 Lohmans Crossing Rd, Ste 5, Lakeway TX 78734, United States DESCRIPTION: Weekend delivery to homes and businesses using DoorDash software as an Independant driver working for Inspired Delivery LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Mark L Soderquist's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark L Soderquist'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
February 8, 2025 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 3737 Executive Center Drive Suite 111, Austin, TX 78731RIA
BD
CRD#: 42803
Austin, TX
Current
February 10, 2025 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 3737 Executive Center Drive Suite 111, Austin, TX 78731RIA
BD
CRD#: 42803
Austin, TX
Past
January 6, 2021 - April 26, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
AUSTIN, TX
Past
November 24, 2020 - April 26, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
AUSTIN, TX
Past
August 7, 2009 - January 21, 2010
FOX RIVER SECURITIES, LLC
BD
CRD#: 147527
CHICAGO, IL
Past
February 11, 1994 - March 25, 1999
BNP PARIBAS PRIME BROKERAGE, INC.
BD
CRD#: 24962
NEW YORK, NY
Past
April 5, 1989 - March 30, 1993
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
March 22, 1988 - April 6, 1989
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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
IAR
Texas(2/8/2025)
RR
Texas(2/11/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/24/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 44
Date: 8/6/2009
PCX Market Maker ExamGeneral 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.
