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RP

Rosalie J. Paul

VALIC FINANCIAL ADVISORS
Houston, TX 77019
Some features on this profile are disabled
CRD#: 2217903
RP

Professional summary

Rosalie Janise Paul, who also goes by Rosalie Janise Eckart, Rosalie Paul, is a registered financial professional currently at VALIC FINANCIAL ADVISORS, INC. located in Houston, Texas and COREBRIDGE CAPITAL SERVICES, INC. located in Houston, Texas.

Rosalie is registered as a RR (Registered Representative) and started their career in finance in 1992. Rosalie has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rosalie Janise Eckart | Rosalie Paul

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rosalie Janise Paul'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®
None

Experience

Current

October 7, 2020 - Present

VALIC FINANCIAL ADVISORS, INC.

Office #1: 2929 Allen Parkway L3-20, Houston, TX 77019
RIA
BD
CRD#: 42803
Houston, TX
Current

October 26, 2020 - Present

COREBRIDGE CAPITAL SERVICES, INC.

Office #1: 2929 Allen Parkway, Houston, TX 77019
BD
CRD#: 13158
Houston, TX
Past

April 6, 2018 - December 31, 2019

ZIONS CAPITAL ADVISORS, INC.

RIA
CRD#: 131308
Houston, TX
Past

June 2, 2016 - December 31, 2019

ZIONS DIRECT, INC.

BD
CRD#: 17776
SALT LAKE CITY, UT
Past

December 5, 2005 - April 7, 2016

AMEGY INVESTMENTS, INC.

RIA
CRD#: 120145
HOUSTON, TX
Past

January 25, 2005 - June 14, 2016

AMEGY INVESTMENTS, INC.

BD
CRD#: 120145
HOUSTON, TX
Past

August 21, 2003 - January 25, 2005

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
PHOENIX, AZ
Past

August 30, 2002 - July 30, 2003

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

April 1, 2001 - July 30, 2001

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

January 9, 1995 - April 1, 2001

BANK UNITED SECURITIES CORP.

BD
CRD#: 30288
HOUSTON, TX
Past

March 23, 1992 - December 17, 1993

TOUCHSTONE SECURITIES, INC.

BD
CRD#: 1526
CINCINNATI, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Texas
(10/7/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 4/30/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/2/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/4/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/8/1996
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 9/17/1992
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CC
COREBRIDGE CAPITAL SERVICES, INC.
AIG CAPITAL SERVICES, INC. | SUNAMERICA CAPITAL SERVICES, INC. | INTEGRATED RESOURCES CAPITAL SERVICES, INC. | INTEGRATED CAPITAL SERVICES, INC. | COREBRIDGE CAPITAL SERVICES, INC. | AIG SUNAMERICA CAPITAL SERVICES, INC.

CRD#: 13158 / SEC#: , 8-28733

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
30 Hudson Street 16th Floor, Jersey City, NJ 07302
Mailing Address
30 Hudson Street 16th Floor, Jersey City, NJ 07302
Phone number
(201) 324-6300
Established
Delaware since 11/05/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SUNAMERICA ASSET MANAGEMENT, LLC.SHAREHOLDER
BURNETTE, CYNTHIA LEACHIEF FINANCIAL OFFICER1863103
FORTEY, MICHAELCHIEF COMPLIANCE OFFICER2304969
NASTA, CHRISTINA MARIEPRESIDENT2736888

Disclosures

Regulatory Event1

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

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158Houston, TX 77019

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