KK
Kenneth L. Knopf
VALIC FINANCIAL ADVISORS
WAKEFIELD, MA 01880
Some features on this profile are disabled
CRD#: 2282786
KK
Professional summary
Kenneth Lee Knopf, CFP®, who also goes by Kenneth Knopf, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Wakefield, Massachusetts.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Kenneth has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kenneth Knopf
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.
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 Kenneth Lee Knopf's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Lee Knopf'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: 1992
Experience
Current
April 29, 2009 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 301 Edgewater Place Suite 100, Wakefield, MA 01880RIA
BD
CRD#: 42803
WAKEFIELD, MA
Current
April 28, 2009 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 301 Edgewater Place Suite 100, Wakefield, MA 01880RIA
BD
CRD#: 42803
WAKEFIELD, MA
Past
February 20, 2008 - March 13, 2009
BENTLEY WEALTH ADVISORS, LLC
RIA
CRD#: 126007
WARWICK, RI
Past
July 25, 2006 - May 1, 2009
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
WARWICK, RI
Past
July 25, 2006 - May 1, 2009
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
WARWICK, RI
Past
January 6, 2006 - July 21, 2006
LPL FINANCIAL LLC
RIA
CRD#: 6413
GEORGETOWN, MA
Past
October 13, 2004 - July 21, 2006
LPL FINANCIAL LLC
BD
CRD#: 6413
GEORGETOWN, MA
Past
April 15, 2004 - October 15, 2004
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
ANDOVER, MA
Past
March 4, 2003 - October 15, 2004
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
July 21, 2000 - March 11, 2003
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
December 1, 1999 - July 21, 2000
LIBERTY LIFE SECURITIES LLC
BD
CRD#: 47737
DOVER, NH
Past
January 15, 1999 - December 1, 1999
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
July 29, 1998 - December 2, 1998
MAIN STREET MANAGEMENT COMPANY
BD
CRD#: 547
BOSTON, MA
Past
June 27, 1996 - November 1, 1996
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
June 27, 1996 - November 1, 1996
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
February 8, 1996 - June 3, 1996
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
July 19, 1995 - February 5, 1996
USLIFE EQUITY SALES CORP.
BD
CRD#: 7962
NEW YORK, NY
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
Alabama(8/31/2021)
IAR
Alabama(8/31/2021)
RR
Arizona(4/28/2009)
IAR
Arizona(1/10/2024)
RR
Connecticut(5/28/2009)
IAR
Connecticut(5/28/2009)
RR
Florida(5/28/2009)
IAR
Florida(6/1/2009)
RR
Maine(1/2/2020)
IAR
Maine(1/2/2020)
RR
Maryland(7/30/2021)
IAR
Maryland(7/30/2021)
RR
Massachusetts(4/28/2009)
IAR
Massachusetts(4/29/2009)
RR
New Hampshire(4/28/2009)
IAR
New Hampshire(5/28/2009)
RR
New York(1/10/2017)
IAR
New York(8/16/2021)
RR
Rhode Island(4/28/2009)
IAR
Rhode Island(11/9/2009)
RR
Washington(9/18/2018)
IAR
Washington(9/18/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803Wakefield, MA 01880TRUST BUT VERIFY
Monitor Kenneth Knopf
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
