Thomas L. Blake
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.
Thomas Lee Blake was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1973. Thomas had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 1, Series 51 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2014 - July 7, 2016
VALIC FINANCIAL ADVISORS, INC.
September 3, 2014 - July 7, 2016
VALIC FINANCIAL ADVISORS, INC.
October 9, 2013 - August 27, 2014
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
September 6, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
May 13, 1999 - April 25, 2011
VALIC FINANCIAL ADVISORS, INC.
May 12, 1999 - April 25, 2011
VALIC FINANCIAL ADVISORS, INC.
April 16, 1998 - March 8, 2000
PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY
August 30, 1995 - January 8, 1998
METROPOLITAN LIFE INSURANCE COMPANY
August 30, 1995 - January 8, 1998
MSI FINANCIAL SERVICES, INC.
October 8, 1993 - June 13, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 8, 1993 - June 13, 1995
OSAIC FA, INC.
September 8, 1989 - November 5, 1993
LEGEND CAPITAL CORPORATION
October 22, 1988 - August 29, 1989
WATERSTONE FINANCIAL GROUP, INC.
August 4, 1977 - January 29, 1987
CITISTREET EQUITIES LLC
December 19, 1973 - August 21, 1977
THE VARIABLE ANNUITY MARKETING COMPANY
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
Series 1
Date: 12/14/1973
Registered Representative ExaminationSeries 40
Date: 12/22/1977
Registered Principal ExaminationCurrent 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.
