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Tom Lee Rosenbaum

Valic Financial Advisors, Inc.

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About Tom Lee Rosenbaum

Tom Rosenbaum is a financial advisor with Valic Financial Advisors, Inc. with over 22 years of experience in the financial services industry. Tom holds a Series 7, Series 24, and Series 66 license and is a Certified Financial Planner. Tom is registered with the state of California as well as Idaho, Nevada, and Oregon. He is currently active in the financial industry. Tom has worked at Valic Financial Advisors, Inc. since 2002 and previously worked at Waddell & Reed, Inc. Tom specializes in providing financial planning, investment management, and other financial services to individuals, high-net-worth individuals, and businesses.

Firm Information

Tom Rosenbaum 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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Tom Rosenbaum’s Registration & Firm History

CA

09/13/2018 - Present

Valic Financial Advisors, Inc. (WOODLAND HILLS CA)

KS

02/29/2000 - 06/12/2002

WADDELL & REED, INC. (OVERLAND PARK KS)

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Licenses & Designations

BOTH

Issued 03/08/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/20/2007

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/28/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Tom Lee Rosenbaum.
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