DD
David D. Duque
VALIC FINANCIAL ADVISORS
ADDISON, TX 75001
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CRD#: 5618788
DD
Professional summary
David D Duque, who also goes by David D Duque, David Duane Duque, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Addison, Texas.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. David has worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David D Duque | David Duane Duque
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: Non-Securities Insurance Products INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 07/03/2023 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Appointed as agent to sell Non- Securities Insurance products for AGIA ROTARY BOARD MEMBER POSITION: Sargent of Arms NATURE: Board of Directors for Champions Rotary Club of Justin TX INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 2 START DATE: 07/01/2024 ADDRESS: 216 FM 156, Justin TX 76247, United States DESCRIPTION: I will be on the Board of Directors for the Champions Rotary Club beginning on July 1, 2024. The board overseers the activity of the club. Votes on budget and expenditures throughout the club year. My role will also entail managing the set up, the technical equipment during the meeting and break down at the end.
CRS (Client Relationship Summary) - RIA
Click below to view David D Duque's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David D Duque'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
July 25, 2023 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 15305 Dallas Parkway 12th Floor, Addison, TX 75001RIA
BD
CRD#: 42803
ADDISON, TX
Current
July 17, 2023 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 15305 Dallas Parkway 12th Floor, Addison, TX 75001RIA
BD
CRD#: 42803
ADDISON, TX
Past
April 14, 2023 - July 17, 2023
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
FORT WORTH, TX
Past
February 15, 2023 - July 17, 2023
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
FORT WORTH, TX
Past
February 24, 2009 - October 14, 2022
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
ALBUQUERQUE, NM
Past
February 4, 2009 - October 14, 2022
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
ALBUQUERQUE, NM
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(9/14/2023)
IAR
Arizona(9/26/2023)
RR
Arkansas(2/14/2025)
IAR
Arkansas(2/19/2025)
RR
California(9/15/2023)
IAR
California(9/15/2023)
RR
Colorado(9/14/2023)
IAR
Colorado(9/14/2023)
RR
New Mexico(9/14/2023)
IAR
New Mexico(9/14/2023)
RR
Oklahoma(11/4/2025)
RR
Texas(7/25/2023)
IAR
Texas(7/25/2023)
RR
Virginia(8/4/2025)
IAR
Virginia(8/4/2025)
Exams
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.
