RC
Rickey J. Carlson
VALIC FINANCIAL ADVISORS
Houston, TX 77019
Some features on this profile are disabled
CRD#: 5708708
RC
Professional summary
Rickey Jack Carlson, who also goes by R.j. Carlson, Rick J Carlson, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Houston, Texas.
Rickey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Rickey has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
R.j. Carlson | Rick J Carlson
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: 02/20/2023 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Appointed as agent to sell Non-Securities Insurance products for AGIA
CRS (Client Relationship Summary) - RIA
Click below to view Rickey Jack Carlson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rickey Jack Carlson'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
February 21, 2023 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2919 Allen Parkway 9th Floor - Retirement Education Center, Houston, TX 77019RIA
BD
CRD#: 42803
Houston, TX
Current
February 21, 2023 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2919 Allen Parkway 9th Floor - Retirement Education Center, Houston, TX 77019RIA
BD
CRD#: 42803
Houston, TX
Past
October 3, 2022 - March 17, 2023
SYMPHONY FINANCIAL, LTD. CO.
RIA
CRD#: 171816
Kingwood, TX
Past
October 3, 2022 - January 30, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
KINGWOOD, TX
Past
December 8, 2015 - August 16, 2021
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
HOUSTON, TX
Past
January 30, 2014 - September 29, 2022
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
HOUSTON, TX
Past
January 30, 2014 - September 29, 2022
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
October 1, 2013 - January 2, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HOUSTON, TX
Past
July 31, 2013 - January 2, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HOUSTON, TX
Past
October 1, 2012 - July 19, 2013
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
HOUSTON, TX
Past
July 14, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
HOUSTON, TX
Past
January 4, 2010 - June 11, 2010
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
HOUSTON, TX
Past
October 14, 2009 - June 11, 2010
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
HOUSTON, 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
Alaska(4/21/2023)
IAR
Alaska(4/25/2023)
RR
Arkansas(3/14/2023)
IAR
Arkansas(3/29/2023)
RR
Delaware(6/15/2023)
IAR
Delaware(6/20/2023)
RR
Florida(6/16/2023)
IAR
Florida(6/19/2023)
RR
Georgia(1/11/2025)
RR
Maine(10/12/2023)
IAR
Maine(10/12/2023)
RR
Maryland(3/30/2023)
IAR
Maryland(3/30/2023)
RR
Massachusetts(6/15/2023)
IAR
Massachusetts(7/6/2023)
RR
Michigan(5/21/2025)
IAR
Michigan(5/23/2025)
RR
New Hampshire(6/15/2023)
IAR
New Hampshire(6/21/2023)
RR
New Jersey(6/16/2023)
IAR
New Jersey(6/19/2023)
RR
North Carolina(3/14/2023)
IAR
North Carolina(3/16/2023)
RR
Oregon(3/8/2024)
IAR
Oregon(3/10/2024)
RR
Pennsylvania(10/26/2023)
IAR
Pennsylvania(10/27/2023)
RR
Rhode Island(6/15/2023)
IAR
Rhode Island(6/16/2023)
RR
South Carolina(3/14/2023)
IAR
South Carolina(3/22/2023)
RR
Tennessee(3/14/2023)
RR
Texas(2/21/2023)
IAR
Texas(2/21/2023)
RR
Vermont(6/15/2023)
IAR
Vermont(6/16/2023)
RR
Virginia(3/14/2023)
IAR
Virginia(3/15/2023)
RR
Washington(3/8/2024)
IAR
Washington(3/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/5/2021
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.
