Fuad O. Age
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.
Fuad Olushola Age, who also goes by Shola Age, was a registered financial professional .
Fuad is a previously registered financial professional and started their career in finance in 1999. Fuad had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2018 - July 10, 2019
VALIC FINANCIAL ADVISORS, INC.
March 12, 2018 - July 10, 2019
VALIC FINANCIAL ADVISORS, INC.
February 2, 2009 - March 28, 2018
PRINCIPAL SECURITIES, INC.
April 11, 2008 - March 28, 2018
PRINCIPAL SECURITIES, INC.
November 29, 2005 - February 15, 2008
MSI FINANCIAL SERVICES, INC.
November 29, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 29, 2005 - February 15, 2008
MSI FINANCIAL SERVICES, INC.
September 11, 2002 - December 31, 2005
CITISTREET FINANCIAL SERVICES LLC
August 29, 2002 - December 31, 2005
CITISTREET EQUITIES LLC
June 21, 2002 - September 10, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
December 17, 1999 - September 10, 2002
IDS LIFE INSURANCE COMPANY
December 17, 1999 - September 10, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
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.
