RP
Ronald L. Philbrick
VALIC FINANCIAL ADVISORS
Greensboro, NC 27409
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CRD#: 2980224
RP
Professional summary
Ronald Lee Philbrick JR, who also goes by Rob Philbrick, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Greensboro, North Carolina.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Ronald has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rob Philbrick
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.
Carolina Resellers. 12000 Fenwick Dr, Indian Trail, NC 28079. Start date: 03/19/2019. Not investment related. 1% of time spent on outside business, none during securities trading hours. I would like to sell items on ebay and Amazon that I no longer have a use for. Additionally, I would like to purchase items from local garage sales and discount stores and sell those items for a profit, on line. Healthcare POA. 12000 Fenwick Dr, Indian Trail, NC 28079. Start Date: 06/28/2019. Not investment related. No time spent on outside business. I have been asked to serve as the Healthcare Power of Attorney for my in-laws, Joseph and Jacqueline Kaminski. 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 Ronald Lee Philbrick JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ronald Lee Philbrick JR'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 11, 2010 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 7029 Albert Pick Road Suite 206, Greensboro, NC 27409RIA
BD
CRD#: 42803
Greensboro, NC
Current
March 9, 2010 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 7029 Albert Pick Road Suite 206, Greensboro, NC 27409RIA
BD
CRD#: 42803
Greensboro, NC
Past
November 8, 2006 - March 5, 2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
CHARLOTTE, NC
Past
November 8, 2006 - March 5, 2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
CHARLOTTE, NC
Past
March 12, 2003 - August 25, 2006
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
GASTONIA, NC
Past
March 12, 2003 - August 25, 2006
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
GASTONIA, NC
Past
January 16, 2002 - March 12, 2003
FFP ADVISORY SERVICES INC
RIA
CRD#: 110778
CHARLOTTE, NC
Past
July 11, 2001 - March 12, 2003
FFP SECURITIES, INC.
BD
CRD#: 16337
CHESTERFIELD, MO
Past
October 20, 2000 - June 19, 2001
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
March 26, 1998 - August 23, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 26, 1998 - August 23, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
California(11/1/2011)
RR
Florida(11/5/2020)
IAR
Florida(11/5/2020)
RR
Illinois(11/29/2011)
RR
Maryland(12/12/2024)
RR
Missouri(11/1/2011)
RR
New Mexico(8/13/2020)
IAR
New Mexico(8/13/2020)
RR
New York(11/1/2011)
IAR
New York(8/16/2021)
RR
North Carolina(3/9/2010)
IAR
North Carolina(3/11/2010)
RR
South Carolina(11/24/2010)
IAR
South Carolina(11/29/2010)
RR
Virginia(1/13/2022)
IAR
Virginia(1/13/2022)
Exams
State Security Law Exam
State Security Law 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#: 42803Greensboro, NC 27409TRUST BUT VERIFY
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