DK
Darryl J. Knox
VALIC FINANCIAL ADVISORS
Auburn, AL 36830
Some features on this profile are disabled
CRD#: 1835771
DK
Professional summary
Darryl James Knox SR, CFP®, who also goes by Darryl J Knox Sr, Darryl James Knox Sr, Darryl James Knox, Darryl Knox, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Auburn, Alabama.
Darryl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Darryl has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Darryl J Knox Sr | Darryl James Knox Sr | Darryl James Knox | Darryl Knox
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.
SECURITIES TRAINING CORPORATION POSITION: Instructor NATURE: The company provides preparatory materials and classes for individuals preparing for insurance and securities licensing. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/05/2021 ADDRESS: 123 William St, 7th Floor, New York NY 10038, United States DESCRIPTION: As an independent contractor I am engaged on a project basis. I teach classes, occasionally write and review content, for courses. I also provide one on one tutoring for students. This is done onthe occasional evening and weekend. AGIA POSITION: Agent NATURE: Non-Securities Insurance Products. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 04/03/2023 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Appointed as agent to sell Non-Securities products for AGIA
CRS (Client Relationship Summary) - RIA
Click below to view Darryl James Knox SR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Darryl James Knox SR'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®
CFP®
Start date: 2009
Experience
Current
April 10, 2023 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 124 Bragg Avenue Suite A, Auburn, AL 36830Office #2: 3535 Grandview Parkway Suite 200, Birmingham, AL 35243Office #3: 2300 Windy Ridge Parkway S.e. Suite 240 S, Atlanta, GA 30339Office #4: 1 Music Circle North Suite 400, Nashville , TN 37203Office #5: 315 W Hickory Street, Sylacauga, AL 35150Office #6: 1725 Pine Street, Montgomery, AL 36106Office #7: 1005 Dr. Db Todd Jr. Blvd, Nashville , TN 37208Office #8: 1 Music Circle North Suite 400, Nashville, TN 37203Office #9: 1 Music Circle North Suite 400, Nashville, TN 37203Office #10: 1 Music Circle North Suite 400, Nashville, TN 37203Office #11: Hardin County General Hospital 935 Wayne Rd, Savannah, TN 38372RIA
BD
CRD#: 42803
Auburn, AL
Current
April 10, 2023 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 124 Bragg Avenue Suite A, Auburn, AL 36830Office #2: 3535 Grandview Parkway Suite 200, Birmingham, AL 35243Office #3: 2300 Windy Ridge Parkway S.e. Suite 240 S, Atlanta, GA 30339Office #4: 1 Music Circle North Suite 400, Nashville , TN 37203Office #5: 315 W Hickory Street, Sylacauga, AL 35150Office #6: 1725 Pine Street, Montgomery, AL 36106Office #7: 1005 Dr. Db Todd Jr. Blvd, Nashville , TN 37208Office #8: 1 Music Circle North Suite 400, Nashville, TN 37203Office #9: 1 Music Circle North Suite 400, Nashville, TN 37203Office #10: 1 Music Circle North Suite 400, Nashville, TN 37203Office #11: Hardin County General Hospital 935 Wayne Rd, Savannah, TN 38372RIA
BD
CRD#: 42803
Auburn, AL
Past
March 31, 2020 - April 6, 2023
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Naperville, IL
Past
March 26, 2020 - April 6, 2023
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
May 10, 2018 - December 31, 2019
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
St Charles, IL
Past
May 10, 2018 - December 31, 2019
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
St Charles, IL
Past
June 7, 2004 - July 12, 2017
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
NAPERVILLE, IL
Past
June 7, 2004 - July 12, 2017
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
OAK BROOK, IL
Past
January 27, 2004 - March 15, 2004
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
LISLE, IL
Past
July 2, 2002 - March 15, 2004
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
October 2, 1990 - May 21, 2002
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
February 7, 1989 - April 12, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Alabama(4/17/2023)
IAR
Alabama(4/17/2023)
RR
Arizona(4/17/2023)
IAR
Arizona(5/1/2023)
RR
Arkansas(4/17/2023)
IAR
Arkansas(4/17/2023)
RR
California(4/17/2023)
IAR
California(4/17/2023)
RR
Colorado(4/17/2023)
IAR
Colorado(4/17/2023)
RR
District of Columbia(4/17/2023)
IAR
District of Columbia(6/5/2023)
RR
Florida(4/17/2023)
IAR
Florida(4/18/2023)
RR
Georgia(4/17/2023)
IAR
Georgia(4/19/2023)
RR
Idaho(2/27/2025)
IAR
Idaho(2/27/2025)
RR
Illinois(4/10/2023)
IAR
Illinois(4/10/2023)
RR
Indiana(4/17/2023)
IAR
Indiana(4/17/2023)
RR
Iowa(4/17/2023)
RR
Kansas(4/17/2023)
IAR
Kansas(4/17/2023)
RR
Kentucky(4/17/2023)
IAR
Kentucky(4/17/2023)
RR
Louisiana(4/17/2023)
IAR
Louisiana(4/17/2023)
RR
Maine(4/17/2023)
IAR
Maine(4/17/2023)
RR
Maryland(4/17/2023)
IAR
Maryland(4/17/2023)
RR
Michigan(4/17/2023)
IAR
Michigan(4/17/2023)
RR
Minnesota(4/2/2025)
IAR
Minnesota(4/2/2025)
RR
Mississippi(4/17/2023)
IAR
Mississippi(4/17/2023)
RR
Missouri(4/17/2023)
IAR
Missouri(4/17/2023)
RR
New Hampshire(4/17/2023)
IAR
New Hampshire(4/17/2023)
RR
New Jersey(4/17/2023)
IAR
New Jersey(4/18/2023)
RR
New Mexico(9/27/2024)
IAR
New Mexico(9/30/2024)
RR
North Carolina(4/17/2023)
IAR
North Carolina(4/17/2023)
RR
Ohio(4/18/2023)
IAR
Ohio(4/18/2023)
RR
Oregon(4/17/2023)
IAR
Oregon(4/17/2023)
RR
Pennsylvania(4/17/2023)
IAR
Pennsylvania(4/17/2023)
RR
South Carolina(4/17/2023)
IAR
South Carolina(4/17/2023)
RR
Tennessee(4/17/2023)
IAR
Tennessee(12/2/2024)
RR
Texas(4/17/2023)
IAR
Texas(4/17/2023)
RR
Utah(4/17/2023)
IAR
Utah(4/18/2023)
RR
Virginia(4/17/2023)
IAR
Virginia(4/17/2023)
RR
Washington(12/5/2023)
IAR
Washington(12/5/2023)
RR
West Virginia(10/29/2024)
IAR
West Virginia(12/3/2024)
RR
Wisconsin(3/15/2024)
IAR
Wisconsin(3/15/2024)
RR
Wyoming(4/17/2023)
IAR
Wyoming(7/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
