Michelle M. Roberts
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.
Michelle Marie Roberts, who also goes by Michelle Houser, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 1991. Michelle had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2012 - July 30, 2015
VALIC FINANCIAL ADVISORS, INC.
August 28, 2012 - July 30, 2015
VALIC FINANCIAL ADVISORS, INC.
November 30, 2011 - August 28, 2012
MML INVESTORS SERVICES, LLC
November 23, 2011 - August 28, 2012
MML INVESTORS SERVICES, LLC
January 31, 2005 - February 26, 2010
ALLSTATE FINANCIAL SERVICES, LLC
January 11, 1999 - August 25, 2004
STATE FARM VP MANAGEMENT CORP.
November 28, 1995 - March 6, 1997
TD AMERITRADE, INC.
August 25, 1993 - November 15, 1995
FIDELITY BROKERAGE SERVICES LLC
April 29, 1993 - July 29, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 29, 1993 - July 29, 1993
SIGNATOR INVESTORS, INC.
July 1, 1992 - April 1, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 1, 1992 - April 1, 1993
OSAIC FA, INC.
July 2, 1991 - July 7, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 2, 1991 - July 7, 1992
PRUCO SECURITIES, LLC.
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.
