Ryan H. Foley
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.
Ryan Hargitt Foley was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 1994. Ryan had worked at 8 firms and has passed the Series 63, Series 65, 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
May 21, 2014 - March 19, 2015
VALIC FINANCIAL ADVISORS, INC.
May 20, 2014 - March 19, 2015
VALIC FINANCIAL ADVISORS, INC.
October 11, 2012 - May 22, 2014
SIGNATOR INVESTORS, INC.
October 1, 2012 - May 22, 2014
SIGNATOR INVESTORS, INC.
January 9, 2012 - September 13, 2012
MSI FINANCIAL SERVICES, INC.
November 25, 2011 - September 13, 2012
MSI FINANCIAL SERVICES, INC.
June 1, 2009 - December 8, 2010
MORGAN STANLEY
June 1, 2009 - December 8, 2010
MORGAN STANLEY
October 29, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 24, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 27, 1996 - October 27, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 23, 1996 - October 27, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 1995 - August 7, 1996
PRUDENTIAL EQUITY GROUP, LLC
March 18, 1994 - September 28, 1995
NYLIFE DISTRIBUTORS 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.
