DT
Daniel J. Tomas
VALIC FINANCIAL ADVISORS
Cicero, IL 60804
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CRD#: 2129858
DT
Professional summary
Daniel James Tomas, CFP®, ChFC®, CLU® is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Cicero, Illinois.
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 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
NORTHERN ILLINOIS AL ANON DISTRICT 03 FELLOWSHIP TREASURER POSITION: Treasurer, and fellow NATURE: I receive, and deposit fellowship group contributions, deposit them in the district bank account, write checks to pay expenses, make contributions to other service arms, report receipts and disbursements to group reps monthly. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2018 ADDRESS: c/o Trinity United Methodist Church, 1924 Lake Street, Wilmette IL 60091, United States DESCRIPTION: I receive, and deposit fellowship group contributions, deposit them in the district bank account, write checks to pay expenses, make contributions to other service arms, report receipts and disbursements to group reps monthly. RECEIVE RENEWAL COMMISSIONS FROM OUTSIDE INSURANCE COMPANIES FOR POLICIES SOLD IN PRIOR YEARS POSITION: Owner NATURE: I receive renewal commissions from outside insurance companies for policies I sold in prior years, before I joined VALIC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/08/2008 ADDRESS: 908 Madison Street, Evanston IL 60202, United States DESCRIPTION: Receive checks, and deposit in my checking account. DANIEL J. TOMAS, UMPIRE POSITION: Owner NATURE: I umpire youth baseball games in local communities. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/30/2012 ADDRESS: 908 Madison Street, Evanston IL 60202, United States DESCRIPTION: I umpire youth baseball games in local communities. EMTST TRUSTEE POSITION: Trustee NATURE: I collect, deposit monthly condo expense reimbursement remittance into trust bank account, pay monthly condo assessments, and any/all other invoices when due, such as special condo assessments, real estate taxes, insurance, and repairs. Prepare annual income/expense statement, balance sheet, and trust tax return. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/10/2020 ADDRESS: 908 Madison Street, Evanston IL 60202, United States DESCRIPTION: I collect, deposit monthly condo expense reimbursement remittance into trust bank account, pay monthly condo assessments, and any/all other invoices when due, such as special condo assessments, real estate taxes, insurance, and repairs. Prepare annual income/expense statement, balance sheet, and trust tax return. AGIA POSITION: Agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/17/2022 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Non-Securities Insurance Products
CRS (Client Relationship Summary) - RIA
Click below to view Daniel James Tomas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel James Tomas'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: 2001
Experience
Current
May 21, 2008 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 6001 West Pershing Road M&o Oss Building Room A255, Cicero, IL 60804Office #2: 500 West Madison Suite 2850, Chicago, IL 60661RIA
BD
CRD#: 42803
Cicero, IL
Current
May 21, 2008 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 6001 West Pershing Road M&o Oss Building Room A255, Cicero, IL 60804Office #2: 500 West Madison Suite 2850, Chicago, IL 60661RIA
BD
CRD#: 42803
Cicero, IL
Past
April 2, 1991 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
April 2, 1991 - May 16, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
EVANSTON, IL
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
Illinois(5/21/2008)
IAR
Illinois(5/21/2008)
RR
Indiana(5/17/2018)
IAR
Indiana(2/2/2022)
RR
Maine(5/17/2018)
RR
Michigan(5/17/2018)
IAR
Michigan(2/2/2022)
RR
North Carolina(5/17/2018)
RR
Wisconsin(5/17/2018)
IAR
Wisconsin(2/2/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
