WH
Weslie R. Hollas
VALIC FINANCIAL ADVISORS
Houston, TX 77019
Some features on this profile are disabled
CRD#: 5354619
WH
Professional summary
Weslie R Hollas, who also goes by Wes Hollas, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Houston, Texas.
Weslie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Weslie has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wes Hollas
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.
MIDDLE SCHOOL MATCHUP HOUSTON POSITION: Owner NATURE: Middle School Matchup Houston. 6006 Boulder Lake Ct, Kingwood, TX 77345. Non-investment related. Commenced activity 8/06/2018. Duties include co-owner with spouse to have parents sign up their kids to play in baseball tournament with jerseys provided, field to play on, and umpires. We organize the tournament and crown a champion. Control all assets of the business and receive revenue from registration fees. 10% hours/month is devoted to this activity with none during securities trading hours. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 08/06/2018 ADDRESS: 6006 Boulder Lake Ct, Kingwood TX 77345, United States DESCRIPTION: I am co owner with my wife. We organize the baseball tournament, sign up players through an online registration, form the teams. I hold full decision making authority for the business. 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 Weslie R Hollas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Weslie R Hollas'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
May 23, 2011 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2777 Allen Parkway Rp-01, Houston, TX 77019RIA
BD
CRD#: 42803
Houston, TX
Current
November 18, 2010 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2777 Allen Parkway Rp-01, Houston, TX 77019RIA
BD
CRD#: 42803
Houston, TX
Past
January 11, 2010 - December 7, 2010
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
HOUSTON, TX
Past
August 29, 2008 - October 16, 2009
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
HOUSTON, TX
Past
June 29, 2007 - July 29, 2008
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
HUMBLE, TX
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
Alabama(5/23/2011)
IAR
Alabama(5/23/2011)
RR
Arizona(12/10/2013)
IAR
Arizona(7/26/2019)
RR
Arkansas(12/10/2013)
RR
California(12/10/2013)
IAR
California(1/24/2022)
RR
Connecticut(12/10/2013)
RR
District of Columbia(12/10/2013)
RR
Florida(12/15/2010)
IAR
Florida(2/8/2013)
RR
Georgia(12/15/2010)
IAR
Georgia(2/7/2013)
RR
Hawaii(12/10/2013)
RR
Illinois(12/10/2013)
IAR
Illinois(7/30/2019)
RR
Indiana(12/10/2013)
IAR
Indiana(7/26/2019)
RR
Iowa(12/10/2013)
RR
Kansas(12/10/2013)
RR
Kentucky(12/10/2013)
IAR
Kentucky(7/26/2019)
RR
Louisiana(12/10/2013)
IAR
Louisiana(10/31/2019)
RR
Maine(12/10/2013)
RR
Maryland(12/10/2013)
IAR
Maryland(7/15/2015)
RR
Massachusetts(12/10/2013)
RR
Michigan(12/10/2013)
IAR
Michigan(1/4/2018)
RR
Minnesota(12/10/2013)
IAR
Minnesota(8/8/2019)
RR
Missouri(12/10/2013)
RR
Montana(12/24/2015)
RR
Nebraska(5/1/2014)
RR
Nevada(12/10/2013)
RR
New Jersey(12/10/2013)
RR
New Mexico(3/5/2018)
IAR
New Mexico(7/29/2019)
RR
North Carolina(12/10/2013)
IAR
North Carolina(8/2/2019)
RR
Ohio(12/11/2013)
IAR
Ohio(8/30/2018)
RR
Oklahoma(8/8/2013)
IAR
Oklahoma(8/9/2013)
RR
Pennsylvania(12/10/2013)
IAR
Pennsylvania(1/24/2022)
RR
South Carolina(12/10/2013)
IAR
South Carolina(1/26/2022)
RR
South Dakota(11/14/2017)
IAR
South Dakota(7/23/2019)
RR
Texas(11/18/2010)
IAR
Texas(5/23/2011)
RR
Virginia(12/10/2013)
RR
Washington(12/10/2013)
IAR
Washington(2/6/2025)
RR
Wisconsin(12/10/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/6/2024
General Securities Representative ExaminationGeneral 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.
