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DG

David Goldberg

VALIC FINANCIAL ADVISORS
Houston, TX 77019-2158
Some features on this profile are disabled
CRD#: 2426786
DG

Professional summary

David Goldberg, who also goes by Dave Goldberg, David Mark Goldberg, David Goldberg, is a registered financial professional currently at VALIC FINANCIAL ADVISORS, INC. located in Houston, Texas.

David is registered as a RR (Registered Representative) and started their career in finance in 1994. David has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dave Goldberg | David Mark Goldberg | David Goldberg

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Goldberg's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 16, 2022 - Present

VALIC FINANCIAL ADVISORS, INC.

Office #1: 2919 Allen Parkway L3-20, Houston, TX 77019-2158
RIA
BD
CRD#: 42803
Houston, TX
Past

November 13, 2019 - December 31, 2020

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
SPRINGFIELD, MA
Past

May 21, 2018 - June 20, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
NEW YORK, NY
Past

May 7, 2014 - December 22, 2016

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
New York, NY
Past

June 23, 2008 - April 17, 2014

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY
Past

September 7, 2007 - June 10, 2008

MORGAN STANLEY INVESTMENT ADVISORS INC.

RIA
CRD#: 104525
NEW YORK, NY
Past

June 30, 2006 - June 10, 2008

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
NEW YORK, NY
Past

March 1, 2005 - July 11, 2006

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

June 5, 2001 - August 25, 2004

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

July 8, 1998 - March 10, 2000

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

June 21, 1994 - June 4, 1998

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD
CRD#: 8348
BALTIMORE, MD

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.

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
New York
(9/16/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/1/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/3/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/20/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/5/1994
Investment Company Products/Variable Contracts Representative Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM BROCHURE FOR THE GUIDED PORTFOLIO SERVICES PROGRAM- VC23988 (9/8/2025)
MIP UNIFIED MANAGED ACCOUNT PROGRAM (3/28/2025)
FINANCIAL PLANNING & CONSULTING SERVICES BROCHURE (3/28/2025)
WRAP FEE PROGRAM BROCHURE FOR VFA MANAGED INVESTMENT PROGRAM - VC23987 (3/28/2025)
WRAP FEE PROGRAM BROCHURE FOR THE GUIDED PORTFOLIO ADVANTAGE PROGRAM - VC38857 (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
THE VARIABLE ANNUITY LIFE INSURANCE COMPANYDIRECT OWNER
BURNETTE, CYNTHIA LEACHIEF FINANCIAL OFFICER AND TREASURER1863103
FORTEY, MICHAELVFA CHIEF COMPLIANCE OFFICER BROKER DEALER2304969
GIBSON, KRISTA DE LOISPRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES2348708
JOE, CHRISTOPHER CHUCKVFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR2373056
LOGAN, JOHN ALBERTCHIEF OPERATIONS OFFICER4378887
MARCIEL-CARR, THERESA HVICE PRESIDENT, FIELD SUPERVISION5428259
NORRIS, JOHN ERIKSECRETARY8188573
RINK, VERONICA LYNETTEVICE PRESIDENT, BUSINESS ADMINISTRATION4724432

Regulatory assets under management

Total Number of Accounts293,993
AUM (Assets Under Management)$ 26,372,603,709

Disclosures

Regulatory Event17
Arbitration3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/24/2025
Cover Page
Report
01/27/2025
Cover Page
Report
04/29/2024
Cover Page
Report
04/28/2023
Cover Page
Report

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#: 42803Houston, TX 77019-2158

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