KR
Kristen N. Rose
VALIC FINANCIAL ADVISORS
Scottsdale, AZ 85260
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CRD#: 4288601
KR
Professional summary
Kristen Noell Rose, who also goes by Kristen Noell Berwick, Kristen Noell Dennis, Kristen Noell Sandlin, Kristen Noell Warzyca, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Scottsdale, Arizona.
Kristen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kristen has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristen Noell Berwick | Kristen Noell Dennis | Kristen Noell Sandlin | Kristen Noell Warzyca
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: 12/17/2022 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Non-Securities Insurance Products
CRS (Client Relationship Summary) - RIA
Click below to view Kristen Noell Rose's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kristen Noell Rose'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
July 6, 2011 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 15333 North Pima Road Suite 235, Scottsdale, AZ 85260RIA
BD
CRD#: 42803
Scottsdale, AZ
Current
May 30, 2011 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 15333 North Pima Road Suite 235, Scottsdale, AZ 85260RIA
BD
CRD#: 42803
Scottsdale, AZ
Past
November 6, 2009 - May 5, 2010
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
TUCSON, AZ
Past
November 6, 2009 - May 5, 2010
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
TUCSON, AZ
Past
February 6, 2008 - November 18, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
TUSCON, AZ
Past
February 16, 2007 - February 19, 2008
FIRST HEARTLAND CAPITAL, INC.
BD
CRD#: 32460
TUCSON, AZ
Past
May 30, 2005 - February 16, 2007
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
TUCSON, AZ
Past
April 2, 2003 - January 21, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
November 26, 2002 - April 4, 2003
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
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(5/30/2011)
IAR
Arizona(7/6/2011)
IAR
California(9/1/2022)
RR
California(9/2/2022)
RR
Colorado(3/22/2024)
IAR
Colorado(3/22/2024)
RR
Florida(7/24/2019)
IAR
Florida(7/24/2019)
RR
Illinois(2/1/2024)
IAR
Illinois(2/1/2024)
RR
Iowa(12/2/2024)
IAR
Iowa(12/2/2024)
RR
Nevada(9/11/2024)
IAR
Nevada(9/11/2024)
RR
New York(5/31/2024)
IAR
New York(5/31/2024)
IAR
North Carolina(2/26/2025)
RR
North Carolina(2/27/2025)
IAR
South Carolina(1/26/2022)
RR
South Carolina(1/27/2022)
IAR
Texas(1/26/2022)
RR
Texas(1/27/2022)
RR
Virginia(9/1/2022)
IAR
Virginia(9/1/2022)
RR
Washington(1/11/2023)
IAR
Washington(1/11/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
