Walter C. Williamson
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.
Walter Carroll Williamson, who also goes by Walter C Williamson, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1992. Walter had worked at 9 firms and has passed the Series 65, 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
February 9, 2009 - December 12, 2016
VALIC FINANCIAL ADVISORS, INC.
February 9, 2009 - December 12, 2016
VALIC FINANCIAL ADVISORS, INC.
February 27, 2008 - January 14, 2009
TLG ADVISORS, INC.
February 27, 2008 - January 5, 2009
THE LEADERS GROUP, INC.
June 28, 2001 - February 13, 2008
VALIC FINANCIAL ADVISORS, INC.
October 11, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
October 11, 2000 - February 13, 2008
VALIC FINANCIAL ADVISORS, INC.
May 26, 2000 - July 21, 2000
AETNA FINANCIAL SERVICES, INC.
May 26, 2000 - November 9, 2000
VOYA FINANCIAL PARTNERS, LLC
February 1, 2000 - June 22, 2000
EQUITABLE ADVISORS, LLC
February 1, 1994 - January 10, 2000
SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.
August 18, 1992 - October 7, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 18, 1992 - October 7, 1993
EQUITABLE ADVISORS, 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.
