NR
Nathan E. Rogers
VALIC FINANCIAL ADVISORS
Florence, KY 41042
Some features on this profile are disabled
CRD#: 2629102
NR
Professional summary
Nathan Eric Rogers, CFP®, who also goes by Nate Rogers, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Florence, Kentucky.
Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Nathan has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nate Rogers
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.
DECARLO ENTERPRISES, LLC POSITION: Managing Partner NATURE: This has been previously disclosed as an OBA on the former OBA system. I am using similar verbiage here to explain. This LLC is registered with the state of KY solely for the ownership of my VALIC/AIG Retirement Services office. I was advised by my attorney, CPA and insurance agent that it is best to have ownership of this office in an LLC versus in my personal name for liability protection purposes. Otherwise, the LLC itself has no employees, no income, no duties, no job responsibilities, no revenues, etc. It is simply the ownership entity for my physical office space. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/03/2017 ADDRESS: 1480 Vistaglen Circle, Union KY 41091, United States DESCRIPTION: None AGIA POSITION: Agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/17/2022 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Non-Securities Insurance Products
CRS (Client Relationship Summary) - RIA
Click below to view Nathan Eric Rogers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nathan Eric Rogers's 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®
CFP®
Start date: 2001
Experience
Current
March 6, 2003 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 1511 Cavalry Drive Suite 202, Florence, KY 41042RIA
BD
CRD#: 42803
Florence, KY
Current
November 14, 2002 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 1511 Cavalry Drive Suite 202, Florence, KY 41042RIA
BD
CRD#: 42803
Florence, KY
Past
September 7, 1995 - November 1, 2002
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
June 27, 1995 - August 30, 1995
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(12/21/2009)
RR
Connecticut(9/29/2011)
IAR
Connecticut(9/29/2011)
RR
Florida(11/14/2002)
IAR
Florida(3/7/2003)
RR
Georgia(12/12/2013)
IAR
Georgia(6/14/2023)
RR
Illinois(7/6/2023)
IAR
Illinois(7/6/2023)
RR
Indiana(11/14/2002)
IAR
Indiana(3/6/2003)
RR
Iowa(7/15/2025)
IAR
Iowa(7/15/2025)
RR
Kentucky(11/14/2002)
IAR
Kentucky(3/6/2003)
RR
Michigan(9/12/2007)
IAR
Michigan(6/4/2010)
RR
Missouri(9/27/2018)
IAR
Missouri(9/27/2018)
RR
New Jersey(1/22/2013)
IAR
New Jersey(6/29/2021)
RR
New York(11/14/2002)
RR
Ohio(11/14/2002)
IAR
Ohio(3/7/2003)
RR
Tennessee(5/18/2016)
RR
Texas(8/31/2011)
IAR
Texas(8/31/2011)
RR
Virginia(10/31/2005)
IAR
Virginia(3/7/2017)
RR
West Virginia(11/14/2002)
IAR
West Virginia(3/7/2003)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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.
Company Information
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803Florence, KY 41042TRUST BUT VERIFY
Monitor Nathan Rogers
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
