Bruce A. Hagemann
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.
Bruce Andrew Hagemann, AIF®, who also goes by Bruce Andrew Hageman, Bruce A Hagemann, Bruce Andrew Hagemann, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1989. Bruce had worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 27, Series 4, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2024 - November 25, 2024
VALIC FINANCIAL ADVISORS, INC.
March 5, 2024 - November 25, 2024
VALIC FINANCIAL ADVISORS, INC.
May 16, 2013 - January 6, 2022
BBVA SECURITIES INC.
October 15, 2010 - November 12, 2021
PNC MANAGED ACCOUNT SOLUTIONS, INC.
July 26, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
July 19, 2002 - March 15, 2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC
February 16, 2000 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
March 21, 1999 - January 12, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 19, 1996 - December 23, 1999
WELLS FARGO SECURITIES INC.
January 18, 1996 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
February 7, 1994 - October 16, 1995
CAPITAL BROKERAGE CORPORATION
February 10, 1992 - February 11, 1994
ESSEX NATIONAL SECURITIES, LLC
March 14, 1989 - March 5, 1991
INVEST FINANCIAL 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
Series 52TO
Date: 3/5/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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.
