MW
Michael A. Waverka
VALIC FINANCIAL ADVISORS
HERSHEY, PA
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CRD#: 2838426
MW
Professional summary
Michael Andrew Waverka is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Hershey, Pennsylvania.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 8 firms and has passed the Series 66, 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 Michael Andrew Waverka's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Andrew Waverka'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
May 11, 2012 - Present
VALIC FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 42803
HERSHEY, PA
Current
May 18, 2012 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 300 Northpointe Circle Suite 304, Seven Fields, PA 16046RIA
BD
CRD#: 42803
SEVEN FIELDS, PA
Past
September 7, 2010 - March 21, 2011
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
LANCASTER, PA
Past
September 7, 2010 - March 21, 2011
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
LANCASTER, PA
Past
February 19, 2009 - September 7, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
ELIZABETHTOWN, PA
Past
February 18, 2009 - September 7, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
ELIZABETHTOWN, PA
Past
December 8, 2006 - January 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LANCASTER, PA
Past
December 8, 2006 - January 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LANCASTER, PA
Past
September 27, 2006 - December 11, 2006
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
CAMP HILL, PA
Past
September 20, 2006 - December 11, 2006
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CAMP HILL, PA
Past
August 19, 2005 - September 15, 2006
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
HERSHEY, PA
Past
August 10, 2005 - September 15, 2006
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
HERSHEY, PA
Past
May 2, 2005 - July 8, 2005
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
HARRISBURG, PA
Past
January 1, 2004 - July 8, 2005
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
March 31, 1997 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
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(3/17/2025)
IAR
Arizona(3/27/2025)
RR
Florida(11/8/2017)
IAR
Florida(11/9/2017)
RR
Maryland(9/4/2012)
RR
New Jersey(1/20/2021)
IAR
New Jersey(1/20/2021)
IAR
Pennsylvania(5/11/2012)
RR
Pennsylvania(5/18/2012)
RR
Virginia(10/4/2022)
IAR
Virginia(5/16/2024)
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.
