Thomas J. Conboy
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.
Thomas Joseph Conboy was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1975. Thomas had worked at 10 firms and has passed the Series 66, Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2003 - March 19, 2014
VALIC FINANCIAL ADVISORS, INC.
July 1, 2002 - March 19, 2014
VALIC FINANCIAL ADVISORS, INC.
November 20, 2000 - November 29, 2001
FIDELITY BROKERAGE SERVICES LLC
February 2, 1987 - September 8, 1987
ROBERT W. BAIRD & CO. INCORPORATED
May 14, 1985 - December 13, 1985
EMPIRE NATIONAL SECURITIES, INCORPORATED
October 17, 1984 - May 22, 1985
CIBC WORLD MARKETS CORP.
August 6, 1984 - October 17, 1984
E. F. HUTTON & COMPANY INC
April 18, 1984 - July 5, 1984
ACI SECURITIES,INC.
November 12, 1976 - July 25, 1977
J.J.B. HILLIARD, W.L. LYONS, LLC
June 9, 1976 - November 29, 1976
THOMSON MCKINNON SECURITIES INC.
February 24, 1975 - June 19, 1975
FINANCIAL SERVICE CORPORATION OF AMERICA
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 1
Date: 3/12/1963
Registered Representative 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.
