MM
Mazher Mir
VALIC FINANCIAL ADVISORS
Roseville, CA 95661
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CRD#: 4782878
MM
Professional summary
Mazher Mir, who also goes by Mir M Ali, Mir Mazher Ali, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Roseville, California.
Mazher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Mazher has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mir M Ali | Mir Mazher Ali
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Mazher Mir's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mazher Mir'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
January 14, 2020 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2901 Douglas Boulevard Suite 150, Roseville, CA 95661RIA
BD
CRD#: 42803
Roseville, CA
Current
January 14, 2020 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2901 Douglas Boulevard Suite 150, Roseville, CA 95661RIA
BD
CRD#: 42803
Roseville, CA
Past
May 30, 2019 - January 9, 2020
TD AMERITRADE, INC.
RIA
CRD#: 7870
SANTA ROSA, CA
Past
May 30, 2019 - January 9, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Santa Rosa, CA
Past
May 30, 2019 - January 9, 2020
TD AMERITRADE, INC.
BD
CRD#: 7870
SANTA ROSA, CA
Past
December 10, 2015 - September 26, 2018
MORGAN STANLEY
RIA
CRD#: 149777
SANTA ROSA, CA
Past
December 10, 2015 - September 26, 2018
MORGAN STANLEY
BD
CRD#: 149777
SANTA ROSA, CA
Past
November 17, 2015 - December 2, 2015
PAULSON INVESTMENT COMPANY LLC
BD
CRD#: 5670
NOVATO, CA
Past
July 16, 2012 - January 7, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HEALDSBURG, CA
Past
October 21, 2009 - June 15, 2011
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NAPA, CA
Past
April 9, 2009 - September 30, 2009
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
SANTA ROSA, CA
Past
July 18, 2008 - August 11, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NAPA, CA
Past
January 14, 2008 - June 24, 2008
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
VALLEJO, CA
Past
February 7, 2006 - July 25, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
SAN RAFAEL, CA
Past
April 14, 2004 - December 17, 2005
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
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
California(1/14/2020)
IAR
California(1/14/2020)
RR
Hawaii(5/11/2021)
IAR
Hawaii(5/12/2021)
RR
Nevada(2/23/2022)
IAR
Nevada(3/3/2022)
RR
Washington(5/25/2022)
IAR
Washington(6/10/2022)
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.
Company Information
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803Roseville, CA 95661TRUST BUT VERIFY
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