Juan Carlos Delgado
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.
Juan Carlos Delgado, who also goes by John C Delgado, Juan C Delgado, Juan Carlos Delgado, Juancarlos Delgado, Juan Carlos Warren Hamilton Delgado, was a registered financial professional .
Juan Carlos is a previously registered financial professional and started their career in finance in 1995. Juan Carlos had worked at 9 firms and has passed the Series 63, Series 66, 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
April 8, 2019 - January 23, 2020
VALIC FINANCIAL ADVISORS, INC.
April 8, 2019 - January 23, 2020
VALIC FINANCIAL ADVISORS, INC.
August 30, 2018 - January 8, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 30, 2018 - January 8, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 22, 2016 - June 13, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 22, 2016 - June 13, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 28, 2014 - December 19, 2016
NATIONAL PLANNING CORPORATION
March 13, 2014 - December 19, 2016
NATIONAL PLANNING CORPORATION
November 20, 2013 - April 25, 2014
IV LIONS LLC
September 13, 2011 - November 23, 2011
ALAMO CAPITAL
July 8, 2005 - September 26, 2005
KELMOORE INVESTMENT COMPANY, INC.
January 3, 2005 - September 26, 2005
KELMOORE INVESTMENT COMPANY, INC.
July 31, 2003 - January 3, 2005
TD AMERITRADE, INC.
September 19, 2002 - January 3, 2005
TD AMERITRADE, INC.
September 4, 1996 - August 5, 2002
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
August 3, 1995 - October 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.
