Michael N. Barakat
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.
Michael Neddal Barakat, who also goes by Michael N Barakat, Michael Neddal Barakat, Michael Barakat, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2018 - April 4, 2019
VALIC FINANCIAL ADVISORS, INC.
October 5, 2018 - April 4, 2019
VALIC FINANCIAL ADVISORS, INC.
June 18, 2018 - September 21, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 18, 2018 - September 21, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 22, 2017 - June 11, 2018
NUVEEN SECURITIES, LLC
June 22, 2015 - March 21, 2018
COVARIANCE CAPITAL MANAGEMENT, INC.
September 19, 2014 - February 22, 2017
TEACHERS PERSONAL INVESTORS SERVICES, INC.
January 1, 2010 - December 9, 2013
INVESCO ADVISERS, INC.
July 24, 2007 - December 7, 2007
FUND MANAGEMENT COMPANY
July 19, 2007 - December 6, 2013
INVESCO DISTRIBUTORS, INC.
July 18, 2007 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
January 11, 2006 - May 15, 2006
J.P. MORGAN SECURITIES LLC
December 21, 2005 - May 15, 2006
J.P. MORGAN CLEARING CORP.
December 21, 2005 - May 15, 2006
J.P. MORGAN SECURITIES LLC
August 18, 2004 - November 30, 2005
CITICORP INVESTMENT SERVICES
August 10, 2000 - November 30, 2005
CITICORP INVESTMENT SERVICES
September 29, 1999 - November 10, 1999
DIME SECURITIES, INC.
August 14, 1998 - October 1, 1999
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
Contact information
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.
