Beth S. Harelik
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.
Beth Susan Harelik was a registered financial professional .
Beth is a previously registered financial professional and started their career in finance in 1989. Beth had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 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
Experience
February 21, 2017 - August 25, 2023
VALIC FINANCIAL ADVISORS, INC.
February 17, 2017 - August 25, 2023
VALIC FINANCIAL ADVISORS, INC.
April 7, 2014 - May 8, 2015
PNC MANAGED ACCOUNT SOLUTIONS, INC.
March 19, 2014 - May 8, 2015
BBVA SECURITIES INC.
January 3, 2013 - January 8, 2014
PRUCO SECURITIES, LLC.
August 30, 2012 - January 3, 2013
HIMCO DISTRIBUTION SERVICES COMPANY
September 15, 2011 - September 10, 2012
P.J. ROBB VARIABLE, LLC
May 10, 2010 - July 13, 2011
PRUCO SECURITIES, LLC.
September 24, 2009 - July 13, 2011
PRUCO SECURITIES, LLC.
June 12, 2008 - February 10, 2009
HORNOR, TOWNSEND & KENT, LLC
March 7, 2003 - June 10, 2008
ALLSTATE FINANCIAL SERVICES, LLC
June 27, 1997 - March 10, 2003
AMERICAN GENERAL SECURITIES INCORPORATED
June 19, 1995 - June 20, 1997
J.P. MORGAN SECURITIES OF TEXAS, INC.
April 12, 1995 - June 2, 1995
TRADESTAR INVESTMENTS,INC.
April 12, 1993 - December 31, 1994
TOUCHSTONE SECURITIES, INC.
December 4, 1989 - February 8, 1993
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
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.
