RR
Rollie B. Roberts
VALIC FINANCIAL ADVISORS
Columbia, SC 29204
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CRD#: 4001340
RR
Professional summary
Rollie Brian Roberts is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Columbia, South Carolina.
Rollie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Rollie has worked at 5 firms and has passed the Series 66, SIE and Series 7 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.
UPSTATE HOMES BY KIMBER LLC POSITION: Silent Partner NATURE: Real Estate - wife's business INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/30/2020 ADDRESS: 118 Alister Drive, Greenville SC 29607, United States DESCRIPTION: I am not active or involved with management of business. Silent partner for estate purposes. 451 CEDAR CREEK LLC DBA LAKE KEOWEE HIDEAWAY POSITION: 1/4 Partner NATURE: THIS IS A LAKE KEOWEE (SC) LAKEHOUSE THAT MY WIFE AND I EACH OWN 25% WITH ANOTHER COUPLE THAT OWNS THE REMAINING 50%. THE GOAL IS TO EVENTUALLY HAVE THIS BE A RENTAL PROPERTY, AIRBNB, ETC. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/15/2021 ADDRESS: 309 NEWFORT PLACE, GREENVILLE SC 29607, United States DESCRIPTION: 25% PARTNER - DO NOT HAVE ANY DAY TO DAY INVOLVEMENT OR ACTIVITIES ASSOCIATED WITH LLC. I ALSO DO NOT HAVE ANY INVOLVEMENT IN THE RENTAL AND/OR AIRBNB SIDE OF THE BUSINESS. I DO NOT SPEND ANY OF MY WORK DAY TENDING TO BUSINESS ASSOCIATED WITH THIS LLC. 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 SLYGO LLC POSITION: partner NATURE: Rental property - to form partnership with my wife and another couple for managing rental property. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2023 ADDRESS: 309 NEWFORT PLACE, GREENVILLE SC 29607, United States DESCRIPTION: I do not have any day to day working responsibilities. This is a rental property that we are forming the LLC for estate reasons.
CRS (Client Relationship Summary) - RIA
Click below to view Rollie Brian Roberts's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rollie Brian Roberts'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
June 8, 2009 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 3710 Landmark Drive Suite 104,, Columbia, SC 29204RIA
BD
CRD#: 42803
Columbia, SC
Current
January 13, 2009 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 3710 Landmark Drive Suite 104,, Columbia, SC 29204RIA
BD
CRD#: 42803
Columbia, SC
Past
September 13, 2006 - January 5, 2009
FNB BROKERAGE SERVICES, INC.
BD
CRD#: 18741
STUART, FL
Past
February 14, 2006 - September 8, 2006
FFP SECURITIES, INC.
BD
CRD#: 16337
CHESTERFIELD, MO
Past
June 11, 2003 - December 12, 2005
FNB BROKERAGE SERVICES, INC.
BD
CRD#: 18741
STUART, FL
Past
February 1, 2001 - March 26, 2003
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
February 18, 2000 - December 1, 2000
PRUCO SECURITIES, LLC.
BD
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".
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(10/23/2013)
IAR
Arizona(10/31/2013)
RR
Colorado(8/20/2020)
IAR
Colorado(8/24/2020)
RR
Florida(1/13/2009)
IAR
Florida(1/11/2010)
RR
Georgia(10/3/2012)
IAR
Georgia(10/3/2012)
RR
Illinois(9/16/2025)
IAR
Illinois(9/16/2025)
RR
Maryland(3/28/2022)
IAR
Maryland(3/28/2022)
RR
New York(10/8/2025)
IAR
New York(10/8/2025)
RR
North Carolina(1/20/2010)
IAR
North Carolina(1/21/2010)
RR
Ohio(10/3/2019)
IAR
Ohio(10/3/2019)
RR
South Carolina(1/13/2009)
IAR
South Carolina(6/8/2009)
RR
Virginia(4/26/2010)
IAR
Virginia(4/26/2010)
Exams
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#: 42803Columbia, SC 29204TRUST BUT VERIFY
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