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Kathy Leanne Rosado

Valic Financial Advisors, Inc.

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About Kathy Leanne Rosado

Kathy Leanne Rosado has been in the financial services industry since February 1997. Kathy is currently registered with Valic Financial Advisors, Inc., and has been with them since August 2006. Prior to that, Kathy worked for a number of other firms, including FSC Securities Corporation, Royal Alliance Associates, Inc., SagePoint Financial, Inc., and Woodbury Financial Services, Inc. Kathy is licensed to provide financial and investment advice in all 50 states. Kathy is also a Registered Representative (RA) in Texas. Kathy has a number of designations and certifications, including the Series 66, Series 4, Series 53, Series 24, Series 27, Series 99TO, Series 7, and the SIE exams. Kathy specializes in investment advice, financial planning, and wrap accounts.

Firm Information

Kathy Rosado 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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Kathy Rosado’s Registration & Firm History

TX

09/25/2006 - Present

Valic Financial Advisors, Inc. (HOUSTON TX)

GA

04/25/2014 - 05/02/2016

FSC SECURITIES CORPORATION (ATLANTA GA)

AZ

04/25/2014 - 05/02/2016

ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)

AZ

04/25/2014 - 05/02/2016

SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)

MN

04/25/2014 - 05/02/2016

WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)

TX

06/14/2005 - 09/14/2006

AMERICAN GENERAL EQUITY SERVICES CORPORATION (HOUSTON TX)

TX

10/20/2004 - 05/27/2005

AMERICAN GENERAL EQUITY SERVICES CORPORATION (HOUSTON TX)

AZ

01/25/2002 - 10/04/2004

AMERICAN GENERAL SECURITIES INCORPORATED (PHOENIX AZ)

TX

01/31/2003 - 07/27/2004

AMERICAN GENERAL EQUITY SERVICES CORPORATION (HOUSTON TX)

TX

01/08/1997 - 10/01/2002

FRANKLIN FINANCIAL SERVICES CORPORATION (HOUSTON TX)

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Licenses & Designations

BOTH

Issued 02/08/1999

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/14/2000

Series 4 - Registered Options Principal Examination

BC

Issued 01/25/1999

Series 53 - Municipal Securities Principal Examination

BC

Issued 09/24/1998

Series 24 - General Securities Principal Examination

BC

Issued 12/16/1996

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/18/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Kathy Leanne Rosado. Review regulatory record here.
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