MS
Mark A. Spinosa
VALIC FINANCIAL ADVISORS
RICHMOND, KY
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CRD#: 5638160
MS
Professional summary
Mark A Spinosa, CFP®, who also goes by Mark Spinosa, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Richmond, Kentucky.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Mark has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Spinosa
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.
Business Name: MAS Investments, LLC Investment-Related: Yes Business Address: 304 Pam Drive, Richmond, KY 40475 Nature of Business: Investment Real Estate / Rental Property My Title: Member Start Date: 11/28/2016 Approximate Hours/Month: 4 Approximate Hours During Securities Trading Hours: 0 Duties: MAS Investments, LLC is a single member LLC that invests primarily in buy-and-hold rental property. International Coffee Farms Corporation. Re/Max Local 17, Plaza Los Establos, Calle Central, Boquete, Chriqui, Panama. Is investment related. Commenced this activity on 3/28/2017. Passive investor/parcel owner, no duties for this activity. 1% hours/month is devoted to this activity which none is during securities trading hours. Holdfolio, 3552 N. Pennsylvania Street, Indianapolis, IN 46205. Investment related. Commenced this activity 10/03/2017. Duties include using personal funds to purchase LLC shares as a passive investor in an LLC entity formed by Holdfolio which would own the property/properties of that particular investment deal. 1% hours/month is devoted to this activity during securities trading hours. CARDONE CAPITAL, LLC POSITION: Passive Investor NATURE: Real estate syndication as a passive investor. Cardone Capital, LLC creates and manages different funds, generally structured as LLCs, in order to invest in large multifamily real estate properties in select markets. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2019 ADDRESS: 18909 NE 29th Ave, Aventura FL 33180, United States DESCRIPTION: N/A. I would simply be a passive investor alongside other passive investors in the syndication. I have no communication with other investors, will not be soliciting any clients of AIG Retirement Services, nor will I be responsible for anyone else's money. I have no involvement in day-to-day operations of the fund, as this is all handled by the sponsor/syndicator. I will strictly be investing my own personal funds as a passive investor. 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 Mark A Spinosa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark A Spinosa'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®
CFP®
Start date: 2015
Experience
Current
November 11, 2010 - Present
VALIC FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 42803
RICHMOND, KY
Current
November 8, 2010 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 4515 N. River Blvd Ne Suite 200, Cedar Rapids, IA 52411RIA
BD
CRD#: 42803
CEDAR RAPIDS, IA
Past
May 7, 2009 - June 14, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LEXINGTON, KY
Past
April 13, 2009 - June 14, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LEXINGTON, KY
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
Florida(7/13/2011)
IAR
Florida(7/14/2011)
RR
Indiana(3/23/2011)
IAR
Indiana(10/4/2019)
RR
Iowa(6/9/2025)
IAR
Iowa(6/9/2025)
RR
Kentucky(11/8/2010)
IAR
Kentucky(11/11/2010)
RR
Massachusetts(12/21/2011)
IAR
Massachusetts(1/6/2012)
RR
Michigan(6/13/2014)
IAR
Michigan(6/17/2014)
RR
Ohio(3/4/2011)
IAR
Ohio(3/4/2011)
RR
Pennsylvania(9/12/2024)
IAR
Pennsylvania(9/12/2024)
RR
South Carolina(3/18/2016)
IAR
South Carolina(10/29/2019)
RR
Tennessee(3/24/2011)
RR
Utah(5/4/2022)
IAR
Utah(5/9/2022)
RR
Virginia(3/23/2011)
IAR
Virginia(3/24/2011)
RR
West Virginia(3/3/2011)
IAR
West Virginia(3/4/2011)
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.
