John W. Picone
Professional summary
John William Picone, who also goes by John W Picone, John Picone, John William Picone, is a registered financial professional currently at VALIC FINANCIAL ADVISORS, INC. located in Houston, Texas.
John is registered as a RR (Registered Representative) and started their career in finance in 1999. John has worked at 10 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John William Picone's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 17, 2025 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2929 Allen Parkway, Houston, TX 77019February 12, 2025 - June 3, 2025
LPL FINANCIAL LLC
August 13, 2019 - June 3, 2025
NEXT FINANCIAL GROUP, INC.
February 14, 2019 - June 3, 2025
SORRENTO PACIFIC FINANCIAL, LLC
February 14, 2019 - June 3, 2025
CADARET, GRANT & CO., INC.
October 16, 2018 - June 3, 2025
CUSO FINANCIAL SERVICES, L.P.
July 25, 2016 - September 4, 2018
MORGAN STANLEY DISTRIBUTION, INC.
June 1, 2009 - July 25, 2016
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
May 18, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
May 17, 2001 - April 28, 2006
MORGAN STANLEY & CO. LLC
January 1, 1999 - April 9, 2001
MORGAN STANLEY DW INC.
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
Series 99TO
Date: 2/12/2025
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
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.
