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Richard Farrel Coates

Valic Financial Advisors, Inc.

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About Richard Farrel Coates

Richard Farrel Coates is a financial advisor in Auburn Hills, MI. Richard has been in the industry since 1996. Richard is currently registered with Valic Financial Advisors, Inc. and previously was registered with The Variable Annuity Marketing Company and Northwestern Mutual Investment Services, Inc.. Richard has passed the Series 6, Series 63, and Series 65 exams. Richard specializes in providing financial planning, investment management services, and selecting other advisors for clients.

Firm Information

Richard Coates 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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Richard Coates’s Registration & Firm History

MI

06/18/2010 - Present

Valic Financial Advisors, Inc. (AUBURN HILLS MI)

TX

04/07/1997 - 12/31/2001

THE VARIABLE ANNUITY MARKETING COMPANY (HOUSTON TX)

WI

10/03/1996 - 04/29/1997

NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC. (MILWAUKEE WI)

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Licenses & Designations

IA

Issued 05/17/2010

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/12/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/02/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Richard Farrel Coates. Review regulatory record here.
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