DN
Daniel J. Nowak
VALIC FINANCIAL ADVISORS
Orlando, FL 32839
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CRD#: 1941545
DN
Professional summary
Daniel John Nowak, who also goes by Daniel John Nowak Jr, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Orlando, Florida.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Daniel has worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24, Series 9, Series 10, Series 23 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel John Nowak Jr
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: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/16/2022 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Non-Securities Insurance Products C & D DIZICAL COLLECTIBLES POSITION: Member/co-owner NATURE: Assist with online sales of Disney items and Collectables. Hold weekly online sales and appear at annual trade show. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2024 ADDRESS: 11650 Ashridge Place, Orlando FL 32824, United States DESCRIPTION: assist with online sales and trade show.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel John Nowak's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel John Nowak'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
July 11, 2016 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 4700 Millenia Blvd Suite 185, Orlando, FL 32839RIA
BD
CRD#: 42803
Orlando, FL
Current
July 7, 2016 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 4700 Millenia Blvd Suite 185, Orlando, FL 32839RIA
BD
CRD#: 42803
Orlando, FL
Past
March 18, 2016 - July 12, 2016
GRACE CAPITAL MANAGEMENT, LLC
RIA
CRD#: 169813
Winter Park, FL
Past
July 21, 2014 - January 4, 2016
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
ORLANDO, FL
Past
July 10, 2014 - January 4, 2016
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
ORLANDO, FL
Past
October 11, 2012 - October 21, 2013
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
TAMPA, FL
Past
September 24, 2012 - October 18, 2013
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
TAMPA, FL
Past
July 15, 2008 - September 5, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
BRANDON, FL
Past
July 11, 2008 - September 5, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
BRANDON, FL
Past
January 13, 2006 - April 16, 2008
TD AMERITRADE, INC.
RIA
CRD#: 7870
NEW YORK, NY
Past
November 18, 2005 - April 16, 2008
TD AMERITRADE, INC.
BD
CRD#: 7870
NEW YORK, NY
Past
February 23, 2005 - November 8, 2005
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
November 19, 2003 - January 6, 2005
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
August 29, 2003 - November 12, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
May 25, 2000 - June 2, 2003
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
October 7, 1994 - March 21, 2000
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
July 19, 1994 - July 26, 1994
RELIASTAR FINANCIAL MARKETING CORP.
BD
CRD#: 4234
SEATTLE, WA
Past
June 14, 1993 - July 8, 1994
INDEPENDENT FINANCIAL SECURITIES, INC.
BD
CRD#: 19924
Past
September 8, 1992 - June 17, 1993
FLEET ENTERPRISES, INC.
BD
CRD#: 17434
NEW YORK, NY
Past
December 23, 1991 - August 13, 1992
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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
California(7/8/2016)
RR
Florida(7/11/2016)
IAR
Florida(7/11/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/23/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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#: 42803Orlando, FL 32839TRUST BUT VERIFY
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