JY
Jack C. Yale
VALIC FINANCIAL ADVISORS
ST. LOUIS, MO 63141
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CRD#: 1703287
JY
Professional summary
Jack Curtis Yale, CFP®, who also goes by Jack Curtis Yale, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in St. Louis, Missouri.
Jack is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Jack has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jack Curtis Yale
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: 05/20/2024 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Appointed as agent to sell non-securities insurance products for AGIA
CRS (Client Relationship Summary) - RIA
Click below to view Jack Curtis Yale's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jack Curtis Yale'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®
Experience
Current
May 21, 2024 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 12312 Olive Boulevard Suite 265, St. Louis, MO 63141RIA
BD
CRD#: 42803
ST. LOUIS, MO
Current
May 21, 2024 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 12312 Olive Boulevard Suite 265, St. Louis, MO 63141RIA
BD
CRD#: 42803
ST. LOUIS, MO
Past
November 25, 2020 - February 7, 2024
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
Charlotte, NC
Past
November 25, 2020 - February 7, 2024
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
CHARLOTTE, NC
Past
August 26, 2014 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
Brentwood, MO
Past
August 8, 2014 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
Brentwood, MO
Past
August 16, 2010 - July 15, 2014
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CLAYTON, MO
Past
August 16, 2010 - July 15, 2014
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CLAYTON, MO
Past
August 7, 2009 - August 5, 2010
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
Past
February 3, 2004 - June 17, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
CHESTERFIELD, MO
Past
November 2, 1995 - June 17, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
CHESTERFIELD, MO
Past
July 22, 1987 - July 19, 1988
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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
Arkansas(6/13/2024)
IAR
Arkansas(6/13/2024)
RR
Colorado(8/1/2024)
IAR
Colorado(8/1/2024)
RR
Illinois(6/13/2024)
IAR
Illinois(6/13/2024)
RR
Kansas(6/13/2024)
IAR
Kansas(6/13/2024)
RR
Missouri(5/21/2024)
IAR
Missouri(5/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
Company Information
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803St. Louis, MO 63141TRUST BUT VERIFY
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