PS
Philip B. Spear
VALIC FINANCIAL ADVISORS
Columbia, SC 29204
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CRD#: 2739957
PS
Professional summary
Philip Bruce Spear is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Columbia, South Carolina.
Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Philip has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
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 Philip Bruce Spear's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Philip Bruce Spear'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®
NoneExperience
Current
March 4, 2015 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 3710 Landmark Drive Suite 104,, Columbia, SC 29204RIA
BD
CRD#: 42803
Columbia, SC
Current
March 5, 2015 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 3710 Landmark Drive Suite 104,, Columbia, SC 29204RIA
BD
CRD#: 42803
Columbia, SC
Past
June 28, 2012 - April 5, 2013
NATIONWIDE SECURITIES, LLC
RIA
CRD#: 11173
LEXINGTON, SC
Past
June 5, 2012 - April 5, 2013
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
LEXINGTON, SC
Past
October 3, 2011 - May 16, 2012
CL WEALTH MANAGEMENT LLC
RIA
CRD#: 134922
SCHAUMBURG, IL
Past
October 3, 2011 - May 16, 2012
ALLIED BEACON PARTNERS, INC.
BD
CRD#: 46227
RICHMOND, VA
Past
July 15, 2011 - September 30, 2011
WORKMAN SECURITIES CORPORATION
RIA
CRD#: 31898
LEXINGTON, SC
Past
July 14, 2011 - September 30, 2011
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
LEXINGTON, SC
Past
October 21, 2009 - July 19, 2011
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
LEXINGTON, SC
Past
October 21, 2009 - July 19, 2011
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
LEXINGTON, SC
Past
October 31, 2008 - October 26, 2009
OSAIC SERVICES, INC.
RIA
CRD#: 133763
LEXINGTON, SC
Past
October 31, 2008 - October 26, 2009
OSAIC SERVICES, INC.
BD
CRD#: 133763
LEXINGTON, SC
Past
August 31, 2006 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
LEXINGTON, SC
Past
August 8, 2006 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
LEXINGTON, SC
Past
May 11, 2006 - July 18, 2006
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
COLUMBIA, SC
Past
March 26, 2003 - July 18, 2006
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
COLUMBIA, SC
Past
September 30, 2002 - March 20, 2003
NCF FINANCIAL SERVICES, INC.
BD
CRD#: 120471
DURHAM, NC
Past
April 26, 1999 - September 30, 2002
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
December 12, 1996 - February 17, 1999
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
Past
July 26, 1996 - December 16, 1996
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
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
Florida(8/8/2018)
IAR
Florida(8/9/2018)
RR
Georgia(1/6/2022)
IAR
Georgia(1/7/2022)
RR
Louisiana(2/27/2025)
IAR
Louisiana(2/27/2025)
RR
North Carolina(6/7/2016)
IAR
North Carolina(6/7/2016)
IAR
South Carolina(3/4/2015)
RR
South Carolina(3/5/2015)
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)
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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#: 42803Columbia, SC 29204TRUST BUT VERIFY
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