MS
Mathew W. Smith
VALIC FINANCIAL ADVISORS
Winooski, VT 05404
Some features on this profile are disabled
CRD#: 6409979
MS
Professional summary
Mathew Warren Smith, who also goes by Mathew Smith, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Winooski, Vermont.
Mathew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Mathew has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mathew Smith
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: 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 FELLOWSHIP OF THE WHEEL POSITION: Board Member NATURE: Board Member (Volunteer Position) INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 06/06/2023 ADDRESS: PO Box 1566, Williston VT 05495, United States DESCRIPTION: As a board member, I volunteer my time to help this organization provide mountain bike trails to Chittenden County, VT. Advocate for mountain biking and sustainable trail-based recreation. As a board member I would also assist with fundraising, marketing, and community outreach. FELLOWSHIP OF THE WHEEL POSITION: Treasurer NATURE: Fellowship is a non profit organization that maintains and builds mountain bike trails throughout Chittenden County Vermont. Theyare a part of the local community and try to promote and educate the sport of mountain biking. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: Fellowship of the Wheel, PO Box 1566, Williston VT 05495, United States DESCRIPTION: I have already disclosed my position as a board member. This OBA is for the Treasurer position. As Treasurer I would be responsible for record keeping the financials for the organization on an on going basis. I would have check writing authority to pay invoices that the business receives, the term for the Treasure position would be for 3 years.
CRS (Client Relationship Summary) - RIA
Click below to view Mathew Warren Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mathew Warren Smith'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
October 16, 2017 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 476 Main Street, Winooski, VT 05404RIA
BD
CRD#: 42803
Winooski, VT
Current
August 29, 2017 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 476 Main Street, Winooski, VT 05404RIA
BD
CRD#: 42803
Winooski, VT
Past
November 12, 2014 - January 20, 2015
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
NORTH HAVEN, CT
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
Connecticut(10/18/2017)
IAR
Connecticut(10/18/2017)
RR
Florida(11/16/2021)
IAR
Florida(11/17/2021)
RR
Massachusetts(12/6/2019)
IAR
Massachusetts(12/24/2019)
RR
New Hampshire(10/18/2017)
IAR
New Hampshire(10/18/2017)
RR
New Jersey(9/29/2023)
IAR
New Jersey(9/29/2023)
RR
New York(8/21/2020)
IAR
New York(8/16/2021)
RR
Rhode Island(10/16/2017)
IAR
Rhode Island(10/16/2017)
RR
South Carolina(8/21/2020)
IAR
South Carolina(8/24/2020)
RR
Tennessee(11/16/2021)
RR
Vermont(9/26/2017)
IAR
Vermont(11/15/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/8/2021
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.
