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Charles Stephen Capozzoli

Valic Financial Advisors, Inc.

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About Charles Stephen Capozzoli

Charles Capozzoli is a financial advisor in Chicago, Illinois. Charles has been working in the financial services industry since 2011. Charles is currently registered with Valic Financial Advisors, Inc. and is licensed to offer securities and investment advisory services in Arizona, Florida, Illinois, Michigan, Minnesota, Missouri, and Wisconsin. Charles has a Series 6, Series 7TO, Series 63, and Series 65 license, as well as the SIE. Charles has a Certified Financial Planner designation.

Firm Information

Charles Capozzoli is currently registered with Valic Financial Advisors, Inc.. Valic Financial Advisors, Inc. is a corporation formed in November 1996, headquartered in Houston, Texas. The firm offers financial planning, portfolio management for individuals, and selection of other advisers, among other services. They also have a wrap fee program and manage assets for both high-net-worth individuals and individuals other than high-net-worth. The firm is registered with the SEC and has a total of 52 state registrations. As of the most recent reporting period, the firm reported approximately $25.25 billion in regulatory assets under management.
Valic Financial Advisors, Inc.

2929 ALLEN PKWY; L7-20

HOUSTON, TX 77019

$25.25B

Assets Under Management

12

Total Clients

1,266

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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recommend wrap accounts to clients

Recommend wrap accounts to clients

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Charles Capozzoli’s Registration & Firm History

IL

01/14/2014 - Present

Valic Financial Advisors, Inc. (CHICAGO IL)

IL

10/26/2011 - 10/10/2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SKOKIE IL)

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Licenses & Designations

IA

Issued 01/13/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/07/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/21/2022

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/25/2011

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Charles Stephen Capozzoli.
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