Sal R. Palatiere
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sal Russell Palatiere, who also goes by Sal Palatiere, was a registered financial professional .
Sal is a previously registered financial professional and started their career in finance in 1980. Sal had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2017 - February 14, 2019
VALIC FINANCIAL ADVISORS, INC.
June 13, 2017 - February 14, 2019
VALIC FINANCIAL ADVISORS, INC.
October 6, 2016 - May 10, 2017
TD AMERITRADE, INC.
June 13, 2012 - September 22, 2016
SWBC INVESTMENT COMPANY
June 13, 2012 - September 22, 2016
SWBC INVESTMENT SERVICES, LLC
March 4, 2009 - June 14, 2012
VALIC FINANCIAL ADVISORS, INC.
February 2, 2009 - June 14, 2012
VALIC FINANCIAL ADVISORS, INC.
July 6, 2005 - January 2, 2009
CHASE INVESTMENT SERVICES CORP.
March 16, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
June 10, 1997 - January 15, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 1, 1991 - June 20, 1997
UBS FINANCIAL SERVICES INC.
June 7, 1989 - January 1, 1991
ROTAN MOSLE INC.
December 22, 1980 - June 19, 1989
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationCurrent Firm
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
Contact information
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.
