Daniel E. Legaye
Professional summary
Daniel Eugene Legaye JR., who also goes by Daniel Eugene Legaye Jr., Daniel Eugene Legaye, Danny Legaye, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Houston, Texas and COREBRIDGE CAPITAL SERVICES, INC. located in Houston, Texas.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Daniel has worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 14, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Eugene Legaye JR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Eugene Legaye JR.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
October 23, 2024 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2929 Allen Parkway L3-20, Houston, TX 77019August 19, 2019 - Present
COREBRIDGE CAPITAL SERVICES, INC.
Office #1: 2929 Allen Parkway, Houston, TX 77019July 26, 2024 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2929 Allen Parkway L3-20, Houston, TX 77019February 28, 2018 - September 18, 2019
VALIC FINANCIAL ADVISORS, INC.
February 20, 2018 - September 18, 2019
VALIC FINANCIAL ADVISORS, INC.
January 19, 2017 - May 10, 2017
BANKERS CAPITAL INTERNATIONAL
April 23, 2015 - February 12, 2018
MOODY SECURITIES, LLC
December 26, 2013 - February 6, 2015
NATIVEONE INSTITUTIONAL TRADING, LLC.
December 12, 2013 - February 20, 2018
KITTLE CAPITAL MARKETS, LLC
December 10, 2013 - June 6, 2014
ASPEN RIVER SECURITIES, LLC
October 17, 2013 - February 14, 2018
TIME EQUITIES SECURITIES LLC
June 14, 2013 - September 9, 2017
RCX CAPITAL GROUP, 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
(8/19/2019)
(10/23/2024)
Exams
Series 28
Date: 6/13/2013
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
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.
