Daoud J. Georgis
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.
Daoud Joseph Georgis was a registered financial professional .
Daoud is a previously registered financial professional and started their career in finance in 1991. Daoud had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 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, 2013 - March 27, 2014
VALIC FINANCIAL ADVISORS, INC.
September 16, 2013 - March 27, 2014
VALIC FINANCIAL ADVISORS, INC.
August 14, 2012 - January 29, 2013
SIGNATOR FINANCIAL SERVICES, INC.
August 13, 2012 - January 29, 2013
SIGNATOR FINANCIAL SERVICES, INC.
June 12, 2012 - August 1, 2012
FULCRUM ADVISORY SERVICES, LLC
June 5, 2012 - August 1, 2012
FULCRUM SECURITIES, LLC
January 6, 2010 - November 28, 2011
WOODBURY FINANCIAL SERVICES, INC.
December 22, 2009 - November 28, 2011
WOODBURY FINANCIAL SERVICES, INC.
February 22, 2006 - November 27, 2009
OPPENHEIMER & CO. INC.
February 21, 2006 - November 27, 2009
OPPENHEIMER & CO. INC.
July 1, 2004 - March 1, 2006
AMERIPRISE ADVISOR SERVICES, INC.
November 20, 1992 - March 1, 2006
AMERIPRISE ADVISOR SERVICES, INC.
July 17, 1992 - September 29, 1992
PARAGON CAPITAL MARKETS, INC.
December 12, 1991 - July 21, 1992
CHATFIELD DEAN & CO., INC.
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.
