JD
Judy Dang
VALIC FINANCIAL ADVISORS
Modesto, CA 95354
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CRD#: 6539529
JD
Professional summary
Judy Dang, who also goes by Judy Joohee Kim, Joohee Moon, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Modesto, California.
Judy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Judy has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Judy Joohee Kim | Joohee Moon
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.
ARIZONA RENTAL PROPERTY POSITION: Co-owner of the home NATURE: My husband and I own a home located at 2882 S. Marble, Gilbert, AZ that we rent out. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/26/2012 ADDRESS: 3302 Jenkins Ave, San Jose CA 95118, United States DESCRIPTION: We use a property management company called, Transcity to manage our rental property and collect rent. TIMESHARE RENTAL POSITION: Co-Owner of Timeshare NATURE: This is a timeshare property that my husband and I own. We own a 2-bedroom lock off unit and will rent it out on the years we don't use the property. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2011 ADDRESS: 6 Kai Ala Drive, Lahaina CA 96761, United States DESCRIPTION: I list the timeshare unit on sites such as Redweek.com and rent the property out to interested parties. USER STUDY POSITION: User Study candidate NATURE: I apply for user studies throughout the year and am compensated by the marketing companies when I go in and complete them. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2020 ADDRESS: 3302 Jenkins Ave, San Jose CA 95118, United States DESCRIPTION: I fill out surveys for the user studies and then go into the companies to try on products or give feedback on the study. EBAY SELLER POSITION: Ebay seller NATURE: I list personal items on ebay a few times a year. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2002 ADDRESS: 3302 Jenkins Ave, San Jose CA 95118, United States DESCRIPTION: I list personal items a few times a year on ebay, items such as clothing and books. 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 CASTILLEJA SCHOOL ASSOCIATION POSITION: Vice President (President elect) NATURE: This role is to be the Vice President on the Executive Board of the parent and guardian association at the school where my 2 daughters attend school. The following year requires the VP to step up as President and also act a non-voting member of the Board of Trusteed, making this a 2 year term: first as VP then the second year as President/non-voting member of the Board of Trustees INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2024 ADDRESS: 1310 Bryant Street, Palo Alto CA 94301, United States DESCRIPTION: I would meet with the leadership team of the school alongside the president and meet with the executive committee as well. This is a role that connects the parent community and the school leadership team. CASTILLEJA SCHOOL ASSOCIATION - CSA PRESIDENT POSITION: CSA President & non voting member of the board of trustees NATURE: This is to be the president on the CSA which is the parent association of the school in which I am currently the Vice President/President elect. As president I will also be a non-voting member of the Castilleja School board of trustees INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 06/08/2025 ADDRESS: 1310 Bryant Street, Palo Alto CA 94301, United States DESCRIPTION: I oversee and run meeting with the executive committee of the CSA and partner with the school to help build community among the parents and guardians. I will attend 2-3 board meetings for the year as a non-voting member
CRS (Client Relationship Summary) - RIA
Click below to view Judy Dang's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Judy Dang'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 23, 2020 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 1150 9th Street Suite 1212, Modesto, CA 95354RIA
BD
CRD#: 42803
Modesto, CA
Current
June 15, 2020 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 1150 9th Street Suite 1212, Modesto, CA 95354RIA
BD
CRD#: 42803
Modesto, CA
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
California(7/23/2020)
IAR
California(7/23/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/13/2020
General Securities Representative ExaminationGeneral 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.
