DD
David B. Dobin
VALIC FINANCIAL ADVISORS
BERKELEY HEIGHTS, NJ 07922
Some features on this profile are disabled
CRD#: 4224203
DD
Professional summary
David Benjamin Dobin, CFP® is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Berkeley Heights, New Jersey.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. David has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 55 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.
AGIA POSITION: Agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/16/2022 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Non-Securities Insurance Products SURVEY ANSWERING POSITION: N/A NATURE: I receive opportunities to take surveys on occasion and was told in my audit that I need to report this as an OBA. On average I receive $100-$150 each year in gift card opportunities for completing surveys. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/11/2024 ADDRESS: 607 Sunset Pl, Middletown NJ 07748, United States DESCRIPTION: answer surveys if I qualify for them. SELLING BOBBY STRONG MERCHANDISE POSITION: salesman NATURE: I will be selling shirts and other items that are in support of a colleague Robert Petrillo that is battling an illness. I will be selling all items at the cost that I purchase them for mostly to colleagues. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/31/2025 ADDRESS: 607 Sunset Pl, Middletown NJ 07748, United States DESCRIPTION: I will order the items and then sell them to mostly colleagues. As mentioned I will be selling them for whatever cost I that I am given for them so there will be no profit.
CRS (Client Relationship Summary) - RIA
Click below to view David Benjamin Dobin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Benjamin Dobin'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®
CFP®
Start date: 2014
Experience
Current
March 10, 2004 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 300 Connell Drive Ste 3300, Berkeley Heights, NJ 07922RIA
BD
CRD#: 42803
BERKELEY HEIGHTS, NJ
Current
March 14, 2003 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 300 Connell Drive Ste 3300, Berkeley Heights, NJ 07922RIA
BD
CRD#: 42803
BERKELEY HEIGHTS, NJ
Past
May 22, 2001 - October 10, 2002
KNIGHT CAPITAL AMERICAS, L.P.
BD
CRD#: 38599
JERSEY CITY, NJ
Past
August 17, 2000 - May 15, 2001
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
ORLANDO, FL
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(5/4/2011)
IAR
Arizona(5/17/2011)
RR
California(5/18/2004)
RR
Colorado(7/21/2020)
IAR
Colorado(7/21/2020)
RR
Delaware(12/5/2023)
IAR
Delaware(12/5/2023)
RR
Florida(6/4/2007)
IAR
Florida(7/20/2007)
RR
Maryland(11/27/2023)
IAR
Maryland(11/27/2023)
RR
Massachusetts(1/9/2024)
IAR
Massachusetts(1/18/2024)
RR
New Jersey(3/14/2003)
IAR
New Jersey(3/10/2004)
RR
New York(7/24/2007)
IAR
New York(8/16/2021)
RR
North Carolina(1/25/2024)
IAR
North Carolina(1/25/2024)
RR
Pennsylvania(7/7/2006)
IAR
Pennsylvania(7/26/2007)
RR
South Carolina(2/26/2021)
IAR
South Carolina(2/26/2021)
RR
South Dakota(4/9/2019)
IAR
South Dakota(4/15/2019)
RR
Texas(1/22/2021)
IAR
Texas(1/22/2021)
RR
Virginia(9/1/2020)
IAR
Virginia(9/1/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/25/2001
Limited Representative-Equity Trader ExamGeneral 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.
