TM
Thomas H. Mountain
VALIC FINANCIAL ADVISORS
Durham, NC 27707
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CRD#: 4268250
TM
Professional summary
Thomas Harold Mountain is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Durham, North Carolina.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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.
SOCIAL MEDIA INFLUENCER ACCOUNT POSITION: Co-account owner NATURE: Many years ago, I began playing RPG games (Pathfinder/DND etc) with my kids. In the past 5 years, this evolved into a regular event hosting a number of people outside the family. The games themselves are often played with no materials other than pen and paper but we decided to make them more elaborate. We use 3D printers to create miniatures and terrain accessories for the games, purchase items as well as craft items by hand. Once our game table became pretty elaborate, it was suggested that my son and I put photos of the weekly game tables on Instagram. We did so and very soon, without any effort, gained quite a lot of followers. Recently, both individuals and companies have reached out to me asking if they could send me their game-related products to use and feature in our social media posts. I have so far, refused due to the compliance issue. For example, one person has a kickstarter beginning in August in which he intends to sell 3d printable files for game pieces. He offered to send me the 3D files for free in exchange for me printing and highlighting them on the account. As I mentioned, I politely refused. But as other companies have reached out with similar offers, my son is particularly keen on this type of arrangement as many of the products being offered to us are pre-release and would be fun to add to our games. There has not been any offer ofmonetary compensation, just product. I anticipate that's all that would ever be offered. All of the products offered so far have a relatively low value (<$100). While he works with me on the construction of the game table and photos for the Instagram account, I am the one who generally posts the photos of our games/game table. There is nothing on the account to identify me personally. As of now, it is a generic hobby account. The account bio makes no reference to me in any way, nor to Valic/VFA. In fact, even my face has not been in any of the 100 posts made so far. There is no topic ever discussed or posted on the account that does not have to do with the hobby. Certainly nothing finance related. The account is on Instagram and the handle is "dndterrainbuilds". It is public. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 07/30/2021 ADDRESS: 162 Autumn Dr, Franklinton NC 27525, United States DESCRIPTION: I take photos of our weekly RPG game table/sessions and post them on Instagram with a description of the game as well as the items we use in our hobby and how we make the more interesting pieces. My 17 year old son and I run the account together. 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
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Harold Mountain's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Harold Mountain'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
December 31, 2001 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 3211 Shannon Road Suite 600, Durham, NC 27707RIA
BD
CRD#: 42803
Durham, NC
Current
September 15, 2000 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 3211 Shannon Road Suite 600, Durham, NC 27707RIA
BD
CRD#: 42803
Durham, NC
Past
September 15, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
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(7/20/2012)
IAR
Arizona(8/3/2012)
RR
District of Columbia(5/23/2017)
IAR
District of Columbia(6/7/2017)
RR
Florida(1/6/2011)
IAR
Florida(7/23/2012)
RR
Georgia(7/6/2006)
IAR
Georgia(7/7/2006)
RR
Massachusetts(3/15/2005)
IAR
Massachusetts(3/16/2005)
RR
North Carolina(9/19/2000)
IAR
North Carolina(12/31/2001)
RR
Ohio(12/8/2021)
IAR
Ohio(12/9/2021)
RR
South Carolina(3/15/2010)
IAR
South Carolina(4/21/2011)
RR
Virginia(5/30/2003)
IAR
Virginia(7/23/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 42803Durham, NC 27707TRUST BUT VERIFY
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