Michael Fortey
Professional summary
Michael Fortey, who also goes by Mike Fortey, is a registered financial professional currently at COREBRIDGE CAPITAL SERVICES, INC. located in Houston, Texas and VALIC FINANCIAL ADVISORS, INC. located in Houston, Texas.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 14, Series 53, Series 4, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Fortey's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 18, 2018 - Present
COREBRIDGE CAPITAL SERVICES, INC.
Office #1: 2929 Allen Parkway, Houston, TX 77019February 10, 2023 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2929 Allen Parkway L3-20, Houston, TX 77019September 29, 2016 - January 30, 2018
COREBRIDGE CAPITAL SERVICES, INC.
April 7, 2016 - July 1, 2019
VALIC FINANCIAL ADVISORS, INC.
April 7, 2016 - July 1, 2019
VALIC FINANCIAL ADVISORS, INC.
May 29, 2015 - May 2, 2016
OSAIC SERVICES, INC.
May 28, 2015 - May 2, 2016
OSAIC SERVICES, INC.
August 13, 2014 - May 28, 2015
WOODBURY FINANCIAL SERVICES, INC.
August 13, 2014 - May 28, 2015
WOODBURY FINANCIAL SERVICES, INC.
January 26, 2011 - May 28, 2015
OSAIC WEALTH, INC.
January 26, 2011 - May 28, 2015
FSC SECURITIES CORPORATION
October 31, 2008 - May 28, 2015
OSAIC SERVICES, INC.
October 31, 2008 - May 28, 2015
OSAIC SERVICES, INC.
November 20, 2002 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
November 15, 2002 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
December 22, 1997 - December 31, 2000
ADVANTAGE CAPITAL CORPORATION
August 18, 1997 - December 21, 1997
SIGNATOR INVESTORS, INC.
October 7, 1996 - December 21, 1997
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
March 28, 1994 - December 31, 1995
CONSECO SECURITIES, INC.
January 27, 1993 - March 28, 1994
SHAWMUT BROKERAGE, 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
(4/18/2018)
Exams
Series 52TO
Date: 4/24/2023
Municipal Securities Representative ExaminationFINRA
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.
