RM
Robin L. Morgan
Some features on this profile are disabled
CRD#: 3096676
RM
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.
Robin L Morgan, who also goes by Robin Lee Esposito, Robin Lee Zimmermann, was a registered financial professional .
Robin is a previously registered financial professional and started their career in finance in 2015. Robin had worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Robin Lee Esposito | Robin Lee Zimmermann
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.
MACOKE, LLC--RENTAL PROPERTIES. 12506 COUNTY RD 6330, WEST PLAINS, MO 65775. MY HUSBAND AND I OWN 11 RENTAL PROPERTIES IN THE WEST PLAINS AREA. I MANAGE THE RENTALS FOR US. START DATE--1992 UNTIL PRESENT. HOURS/MONTH=8 HOURS. MAYBE 2 HRS DURING TRADING HOURS. ADDRESS: 12506 COUNTY RD 6330, WEST PLAINS, MO 65775 OZARKS MEDICAL CENTER FOUNDATION BOARD. 1100 KENTUCKY AVE., P.O.BOX 1100, WEST PLAINS, MO 65775. NON-INVESTMENT RELATED. COMMENCED THIS ACTIVITY ON 8/17/16. MEMBER OF BOARD WITH DUTIES WHICH INCLUDE MAKING DECISIONS ON HOW THE FOUNDATION FUNDS ARE SPENT. ALSO MAY PARTICIPATE IN A CAPITAL CAMPAIGN IN THE CAPACITY OF SOLICITING FUNDS FROM DONORS AND MAKING PERSONAL CONTRIBUTIONS TO THE FOUNDATION, AND WRITE AND REVIEW THE POLCIIES OF THE FOUNDATION. LESS THAN 1% HOURS/MONTH IS DEVOTED TO THIS ACTIVITY WITH NONE DURING SECURITIES TRADING HOURS. FIRST PRESBYTERIAN CHURCH SESSION MEMBER POSITION: Elder NATURE: The session of the church is the ruling body of the Presbyterian church. Mostly we serve on committees of the church such as the education committee, grounds committee, finance committee. I serve on the education committee. We do approve the annual budget and monthly bills but I do not have check writing privileges nor do I serve on the finance committee. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2020 ADDRESS: 112 South Aid Ave, West Plains MO 65775, United States DESCRIPTION: I serve on the education committee. As a session member, the session as a whole does approve the annual budget and approves the paying of the monthly bills. I do not serve on the finance committee nor do I check writing/signing privileges. There are 9 elders on session and one elder cannot act alone. We meet once a month. COMMUNITY FOUNDATION OF WEST PLAINS POSITION: Vice Chair of the Board NATURE: This is the local Community Foundation of West Plains. This is an affiliate of the Community Foundation of the Ozarks. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2010 ADDRESS: 401 Jefferson Ave, West Plains MO 65775, United States DESCRIPTION: I am a board member and at this time also the Chair of the Board. I run the monthly board meetings, decide on the agenda. COMMUNITY FOUNDATION OF THE OZARKS POSITION: Chairman of the Board beginning 07/01/2021 for term of 1 year. NATURE: Community Foundation of the Ozarks is a Community Foundation which works with private donors, affiliate foundations, nonprofit partners and professional advisors to improve the quality of life across its 58-county service region by managing, investing and administering charitable funds. CFO is a 501(c)3. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2021 ADDRESS: 425 E. Trafficway, Springfield MO 65806, United States DESCRIPTION: As a board member I advise on grant making to local non profits, I write and approve policies and procedures, approve the annual audit. We acknowledge new funds set up through the Community Foundation and approve grants being recommended. In July 1, 2021 I will be Chairman of the Board for a term of 1 year.
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®
NoneExperience
Past
July 21, 2015 - April 20, 2022
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
SPRINGFIELD, MO
Past
April 17, 2015 - April 20, 2022
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
SPRINGFIELD, MO
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
