Michael H. Dobin
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.
Michael H Dobin was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1976. Michael had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 5, PC, Series 7, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2007 - February 7, 2020
VALIC FINANCIAL ADVISORS, INC.
January 24, 2007 - February 7, 2020
VALIC FINANCIAL ADVISORS, INC.
January 30, 2006 - December 13, 2006
MAXIM GROUP LLC
August 10, 2004 - December 14, 2005
WM. V. FRANKEL & CO., INCORPORATED
March 3, 2003 - June 30, 2004
VANDHAM SECURITIES CORP.
July 5, 2001 - January 7, 2003
DEUTSCHE IXE, LLC
February 19, 1997 - July 3, 2001
UBS CAPITAL MARKETS L.P.
September 9, 1996 - November 19, 1996
SCHONFELD SECURITIES, LLC
April 8, 1996 - September 9, 1996
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
June 23, 1993 - February 27, 1996
CREDIT SUISSE SECURITIES (USA) LLC
March 23, 1993 - May 17, 1993
CANTOR FITZGERALD & CO.
October 30, 1992 - March 1, 1993
CREDIT SUISSE SECURITIES (USA) LLC
May 22, 1979 - May 22, 1992
LEHMAN BROTHERS INC.
May 20, 1976 - March 14, 1979
THOMSON MCKINNON SECURITIES INC.
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 55
Date: 11/18/1998
Limited Representative-Equity Trader ExamSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 7/9/1980
AMEX Put and Call ExamSeries 12
Date: 7/14/1980
NYSE Branch Manager 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.
