Diane M. Dahlke

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CRD#: 3069622

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.

Diane Marie Dahlke, who also goes by Diane Marie Bumann, was a registered financial professional .

Diane is a previously registered financial professional and started their career in finance in 1998. Diane had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Diane Marie Bumann

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 27, 2010 - January 12, 2012

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

EDINA, MN

Past

October 22, 2009 - March 30, 2010

COUNTRY CAPITAL MANAGEMENT COMPANY

CRD#: 12060

WAUSAU, WI

Past

January 18, 2008 - August 26, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WAUSAU, WI

Past

September 23, 2005 - February 28, 2006

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

May 13, 2005 - July 11, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

April 22, 2002 - May 3, 2005

CATHOLIC FINANCIAL SERVICES CORPORATION

CRD#: 37185

MILWAUKEE, WI

Past

December 20, 1999 - April 4, 2002

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

June 29, 1998 - August 11, 1998

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803 / SEC#: 801-54952, 8-50018

RIA

Registered Investment Advisory firm - SEC (10/10/1997 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/17/2007

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/20/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/25/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/31/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/25/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803 / SEC#: 801-54952, 8-50018

RIA

Registered Investment Advisory firm - SEC (10/10/1997 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM BROCHURE FOR THE GUIDED PORTFOLIO SERVICES PROGRAM- VC23988 (9/8/2025)

MIP UNIFIED MANAGED ACCOUNT PROGRAM (3/28/2025)

FINANCIAL PLANNING & CONSULTING SERVICES BROCHURE (3/28/2025)

WRAP FEE PROGRAM BROCHURE FOR VFA MANAGED INVESTMENT PROGRAM - VC23987 (3/28/2025)

WRAP FEE PROGRAM BROCHURE FOR THE GUIDED PORTFOLIO ADVANTAGE PROGRAM - VC38857 (3/28/2025)

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	Cover Page	Report
01/27/2025	Cover Page	Report
04/29/2024	Cover Page	Report
04/28/2023	Cover Page	Report

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.

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Firm Stability Insights

Diane M. Dahlke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COUNTRY CAPITAL MANAGEMENT COMPANY

UBS FINANCIAL SERVICES INC.

KESTRA INVESTMENT SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

CATHOLIC FINANCIAL SERVICES CORPORATION

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

VALIC FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/17/2007

Series 65

Date: 12/20/2000

Series 63

Date: 6/25/1998

Series 7

Date: 10/31/2007

Series 6

Date: 6/25/1998

Current Firm

VALIC FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

VALIC FINANCIAL ADVISORS, INC.

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