Frank W. Klescewski
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.
Frank William Klescewski was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1971. Frank had worked at 21 firms and has passed the Series 65, Series 63, PC, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2014 - April 3, 2014
VALIC FINANCIAL ADVISORS, INC.
November 26, 2013 - April 3, 2014
VALIC FINANCIAL ADVISORS, INC.
December 3, 2009 - July 20, 2012
GIRARD SECURITIES, INC.
March 10, 2009 - July 27, 2009
LPL FINANCIAL LLC
September 24, 2007 - November 17, 2008
SOURCE CAPITAL GROUP, INC.
July 1, 2003 - June 5, 2006
VANGUARD CAPITAL
September 3, 2002 - September 11, 2002
FIRST WALL STREET CORP.
February 6, 2001 - July 14, 2003
WEDBUSH SECURITIES INC.
June 2, 2000 - January 26, 2001
SECURITIES RESOLUTION CORPORATION
March 10, 1997 - June 30, 2000
PEACOCK, HISLOP, STALEY & GIVEN, INC.
September 22, 1992 - March 6, 1997
MORGAN STANLEY DW INC.
March 2, 1990 - September 24, 1992
FINANCIAL SQUARE PARTNERS
October 16, 1986 - May 18, 1987
GRIGSBY & ASSOCIATES, INC.
February 28, 1986 - March 12, 1990
PIPER SANDLER & CO.
September 19, 1985 - March 3, 1986
BIRR, WILSON & CO., INC.
February 25, 1985 - September 20, 1985
MORGAN STANLEY & CO. LLC
January 7, 1985 - February 28, 1985
MORGAN STANLEY DW INC.
May 24, 1982 - December 11, 1984
BOETTCHER & COMPANY, INC.
September 26, 1978 - August 10, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 7, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
May 13, 1976 - February 6, 1977
ELDREDGE & CO. INCORPORATED OF CALIFORIA
January 7, 1975 - April 15, 1976
ROBERT W. BAIRD & CO. INCORPORATED
January 21, 1971 - January 20, 1975
DAIN, KALMAN & QUAIL, INCORPORATED
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
PC
Date: 4/23/1990
AMEX Put and Call ExamSeries 1
Date: 7/11/1968
Registered Representative ExaminationSeries 40
Date: 11/12/1975
Registered Principal ExaminationCurrent 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.
