Paul A. Pierro
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.
Paul Anthony Pierro was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1993. Paul had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2013 - August 7, 2014
VALIC FINANCIAL ADVISORS, INC.
December 10, 2013 - August 7, 2014
VALIC FINANCIAL ADVISORS, INC.
August 29, 2013 - November 27, 2013
M&T SECURITIES, INC.
May 13, 2013 - November 27, 2013
M&T SECURITIES, INC.
July 20, 2007 - March 21, 2013
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
April 2, 2007 - June 18, 2007
OSAIC WEALTH, INC.
January 1, 2005 - May 5, 2005
HSBC SECURITIES (USA) INC.
April 12, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
November 4, 2002 - January 28, 2003
WELLS FARGO CLEARING SERVICES, LLC
August 29, 2001 - January 28, 2003
WELLS FARGO CLEARING SERVICES, LLC
November 6, 2000 - August 21, 2001
CITICORP INVESTMENT SERVICES
June 28, 2000 - November 7, 2000
SUMMIT FINANCIAL SERVICES GROUP, INC.
June 13, 1996 - June 23, 2000
CITICORP INVESTMENT SERVICES
February 16, 1996 - June 17, 1996
FLEET ENTERPRISES, INC.
July 1, 1993 - July 23, 1993
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, 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
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.
