David Schweitzer
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.
David Schweitzer, who also goes by David Christopher Schweitzer, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 12 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2011 - February 23, 2012
VALIC FINANCIAL ADVISORS, INC.
July 18, 2011 - August 5, 2011
EDWARD JONES
February 24, 2011 - June 2, 2011
ALLSTATE FINANCIAL SERVICES, LLC
April 30, 2009 - August 10, 2010
FIRST KENTUCKY SECURITIES CORPORATION
November 27, 2007 - January 14, 2009
DIRECTED SERVICES LLC
March 19, 2007 - December 4, 2007
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
April 25, 2005 - March 2, 2007
COREBRIDGE CAPITAL SERVICES, INC.
March 3, 2004 - April 15, 2005
BNY MELLON SECURITIES CORPORATION
June 1, 2002 - October 2, 2002
J.J.B. HILLIARD, W.L. LYONS, LLC
May 29, 2002 - June 1, 2002
PNC BROKERAGE CORP
November 23, 2001 - May 24, 2002
UBS FINANCIAL SERVICES INC.
January 20, 2000 - November 21, 2001
J.J.B. HILLIARD, W.L. LYONS, LLC
August 21, 1998 - January 31, 2000
ADVEST, 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
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.
