Kim R. Block
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.
Kim Renee Block, CFP®, who also goes by Kim Renee Wolfe, was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1988. Kim had worked at 13 firms and has passed the Series 63, SIE, Series 7 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
Start date: 1992
Experience
November 9, 2012 - May 28, 2019
VALIC FINANCIAL ADVISORS, INC.
October 22, 2012 - May 28, 2019
VALIC FINANCIAL ADVISORS, INC.
November 24, 2010 - May 9, 2011
WADDELL & REED
November 28, 2007 - December 5, 2008
AMFIN INVESTMENT SERVICES, INC.
March 14, 2007 - September 26, 2007
PEAK SECURITIES CORPORATION
April 27, 2004 - October 18, 2005
BROOKSTREET SECURITIES CORPORATION
January 24, 2000 - February 1, 2000
FIRST ASSOCIATED SECURITIES GROUP, INC.
November 5, 1999 - May 17, 2004
FIRST SECURITIES USA, INC.
February 16, 1995 - November 5, 1999
FIRST ASSOCIATED SECURITIES GROUP, INC.
July 11, 1994 - February 13, 1995
CONSOLIDATED INVESTMENT SERVICES, INC.
January 25, 1994 - June 23, 1994
CETERA ADVISORS LLC
October 15, 1992 - June 14, 1993
WADDELL & REED
June 26, 1990 - October 16, 1990
UBS FINANCIAL SERVICES INC.
August 11, 1989 - January 27, 1990
FAIRCHILD FINANCIAL GROUP, INC.
May 19, 1989 - June 21, 1989
MARSHALL DAVIS, INC.
June 22, 1988 - February 27, 1989
POWER SECURITIES CORPORATION
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.
