Todd D. Smith
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.
Todd Delaney Smith was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1995. Todd had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 31, Series 52, Series 6 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
March 15, 2016 - January 2, 2023
VALIC FINANCIAL ADVISORS, INC.
December 22, 2015 - January 2, 2023
VALIC FINANCIAL ADVISORS, INC.
April 9, 2013 - December 23, 2015
ALLSTATE FINANCIAL SERVICES, LLC
January 3, 2011 - April 3, 2013
PEAK AMERICAN INVESTMENT ADVISORS, INC.
January 3, 2011 - April 3, 2013
PURITAN BROKERAGE SERVICES, INC.
June 21, 2010 - October 25, 2010
NEXT FINANCIAL GROUP, INC.
May 2, 2005 - February 22, 2006
APS FINANCIAL CORPORATION
May 6, 2002 - April 29, 2005
TEJAS SECURITIES GROUP, INC.
August 9, 2001 - January 11, 2002
MORGAN STANLEY DW INC.
February 12, 1996 - June 15, 2001
AMERIPRISE ADVISOR SERVICES, INC.
June 30, 1995 - December 6, 1995
WADDELL & REED
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.
