Felix F. Barraza
VALIC FINANCIAL ADVISORS
Houston, TX 77019
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CRD#: 4734453
Professional summary
Felix F Barraza, CFP®, who also goes by Felix Barraza, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Houston, Texas.
Felix is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Felix has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Felix Barraza
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 Felix F Barraza's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Felix F Barraza'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: 2017
Experience
Current
October 18, 2012 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2777 Allen Parkway Rp-01, Houston, TX 77019RIA
BD
CRD#: 42803
Houston, TX
Current
October 22, 2012 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2777 Allen Parkway Rp-01, Houston, TX 77019RIA
BD
CRD#: 42803
Houston, TX
Past
February 17, 2011 - October 16, 2012
NOVODYN ADVISORS LLC
RIA
CRD#: 156451
HOUSTON, TX
Past
September 20, 2010 - December 9, 2011
TWS FINANCIAL, LLC.
BD
CRD#: 128572
BROOKLYN, NY
Past
March 29, 2010 - February 1, 2011
HMB STONEBRIDGE, INC.
RIA
CRD#: 152372
HOUSTON, TX
Past
April 20, 2009 - April 5, 2010
ZACKS INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 110897
CHICAGO, IL
Past
July 6, 2005 - September 24, 2008
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
HOUSTON, TX
Past
July 6, 2005 - September 24, 2008
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
HOUSTON, TX
Past
November 29, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
HOUSTON, TX
Past
November 29, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
March 18, 2004 - November 15, 2004
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
HOUSTON, TX
Past
December 11, 2003 - November 15, 2004
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
December 11, 2003 - November 15, 2004
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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(3/22/2018)
IAR
Arizona(3/22/2018)
RR
California(11/22/2022)
IAR
California(11/22/2022)
RR
Colorado(8/1/2013)
IAR
Colorado(8/1/2013)
RR
Florida(9/10/2013)
IAR
Florida(9/10/2013)
RR
Georgia(8/25/2016)
IAR
Georgia(8/25/2016)
IAR
Indiana(10/30/2025)
RR
Louisiana(6/11/2021)
IAR
Louisiana(6/11/2021)
RR
Maryland(1/10/2024)
IAR
Maryland(1/10/2024)
RR
Missouri(5/6/2021)
IAR
Missouri(5/6/2021)
RR
Nevada(2/24/2017)
IAR
Nevada(2/24/2017)
RR
New Mexico(9/5/2013)
IAR
New Mexico(9/6/2013)
RR
North Dakota(7/22/2023)
IAR
North Dakota(7/22/2023)
RR
Pennsylvania(5/5/2021)
IAR
Pennsylvania(5/6/2021)
IAR
Texas(10/18/2012)
RR
Texas(10/25/2012)
RR
Virginia(1/21/2025)
IAR
Virginia(1/21/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
