Ryan M. Uwono
VALIC FINANCIAL ADVISORS | Financial Advisor
HONOLULU, HI 96813
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CRD#: 5330294
Professional summary
Ryan Masayuki Uwono, who also goes by Ryan Uwono, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Honolulu, Hawaii.
Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Ryan has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ryan Uwono
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 Ryan Masayuki Uwono's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ryan Masayuki Uwono'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
June 21, 2024 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: Two Waterfront Plaza 500 Ala Moana Blvd, Suite 300, Honolulu, HI 96813RIA
BD
CRD#: 42803
HONOLULU, HI
Current
June 17, 2024 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: Two Waterfront Plaza 500 Ala Moana Blvd, Suite 300, Honolulu, HI 96813RIA
BD
CRD#: 42803
HONOLULU, HI
Past
October 14, 2016 - January 30, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
HONOLULU, HI
Past
October 14, 2016 - January 30, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
HONOLULU, HI
Past
August 13, 2014 - October 10, 2016
TD AMERITRADE, INC.
RIA
CRD#: 7870
HONOLULU, HI
Past
August 13, 2014 - October 10, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
HONOLULU, HI
Past
August 13, 2014 - October 10, 2016
TD AMERITRADE, INC.
BD
CRD#: 7870
HONOLULU, HI
Past
January 17, 2012 - August 6, 2014
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
HONOLULU, HI
Past
January 17, 2012 - August 6, 2014
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
HONOLULU, HI
Past
January 28, 2008 - January 25, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
HONOLULU, HI
Past
January 11, 2008 - January 25, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
HONOLULU, HI
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
Hawaii(6/21/2024)
IAR
Hawaii(6/21/2024)
Exams
State Security Law 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.
Financial AdvisorCRD#: 42803Honolulu, HI 96813TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
