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John Henry Roethle

Valic Financial Advisors, Inc.

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About John Henry Roethle

John Henry Roethle is a financial advisor with Valic Financial Advisors, Inc. John has been in the financial industry for over 35 years and holds the Series 63, SIE and Series 7 licenses. John has worked for several other firms in the past, including LPL Financial LLC, Wachovia Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Robert W. Baird & Co. Incorporated. John specializes in advising individuals and high-net-worth individuals and recommends wrap accounts to clients.

Firm Information

John Roethle 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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John Roethle’s Registration & Firm History

IL

12/23/2015 - Present

Valic Financial Advisors, Inc. (CHICAGO IL)

WI

09/20/2002 - 12/23/2015

LPL FINANCIAL LLC (MEQUON WI)

MO

12/18/1998 - 09/09/2002

WACHOVIA SECURITIES, INC. (ST. LOUIS MO)

NY

07/12/1996 - 12/23/1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NA

05/28/1993 - 07/17/1996

DAIN BOSWORTH INCORPORATED

WI

10/18/1988 - 06/02/1993

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

NA

01/11/1988 - 11/28/1988

FSC SECURITIES CORPORATION

NA

02/24/1987 - 01/19/1988

AMERICAN EXPRESS FINANCIAL ADVISORS INC.

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Licenses & Designations

BC

Issued 03/06/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/21/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for John Henry Roethle. Review regulatory record here.
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