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Michael Fortey

Vfa Chief Compliance Officer Broker Dealer at Valic Financial Advisors

Broker registration; no current adviser registrationSEC record checked 17 October 2026

4
Past adviser firms
11
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Michael Fortey is Vfa Chief Compliance Officer Broker Dealer of Valic Financial Advisors, Inc., a Houston investment adviser managing $29.2B. Michael Fortey has a current broker registration and no current investment-adviser registration and has passed 11 licensing exams.

Role at Valic Financial Advisors

Title on Schedule A
Vfa Chief Compliance Officer Broker Dealer
Control
Michael Fortey is a control person of Valic Financial Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Michael Fortey has held the filed role since February 2023.

The firm

Valic Financial Advisors, Inc.
Houston, TX

Form ADV filed 13 May 2026

$29.2B AUM293,026 clients1,280 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 14 and Series 52TO · 2023
  2. Passed SIE · 2018
  3. Valic Financial Advisors, Inc.
    – · 3 years
    Houston, TX · Adviser representative · Firm CRD 42803
  4. Sagepoint Financial, Inc.
    – · 1 year
    Phoenix, AZ · Adviser representative · Firm CRD 133763
  5. Woodbury Financial Services, Inc.
    – · 1 year
    Oakdale, MN · Adviser representative · Firm CRD 421
  6. Sagepoint Financial, Inc.
    – · 7 years
    Houston, TX · Adviser representative · Firm CRD 133763
  7. Passed Series 53 · 2007
  8. American General Securities Incorporated
    – · 6 years
    Houston, TX · Adviser representative · Firm CRD 13626
  9. Passed Series 4 · 2000
  10. Passed Series 65 · 1999
  11. Passed Series 7 and Series 24 · 1995
  12. Passed Series 26 · 1994
  13. Passed Series 63 · 1993
  14. Passed Series 6 · 1992

Registrations and exams

Broker registration; no current adviser registration. Michael Fortey has passed 11 qualifying exams.

Examinations

Series 6531 March 1999
Name
Uniform Investment Adviser Law Examination
Series 6313 January 1993
Name
Uniform Securities Agent State Law Examination
Series 142 January 2023
Name
Compliance Officer Examination
Series 5317 September 2007
Name
Municipal Securities Principal Examination
Series 420 November 2000
Name
Registered Options Principal Examination
Series 241 May 1995
Name
General Securities Principal Examination
Series 2614 October 1994
Name
Investment Company Products/Variable Contracts Principal Examination
Series 52TO24 April 2023
Name
Municipal Securities Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 717 March 1995
Name
General Securities Representative Examination
Series 69 December 1992
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Michael Fortey
CRD
2304969
Firm
Valic Financial Advisors, Inc.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Michael Fortey work?

Michael Fortey has been Vfa Chief Compliance Officer Broker Dealer of Valic Financial Advisors, Inc. since February 2023, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 13 May 2026

Does Michael Fortey have a current investment-adviser registration?

Michael Fortey has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Michael Fortey passed?

Michael Fortey has passed 11 licensing exams: the Series 6, Series 63, Series 26, Series 7, Series 24, Series 65, Series 4, Series 53, SIE, Series 14 and Series 52TO. The earliest, the Series 6, was passed in December 1992.

Source: IAPD individual record, checked 17 October 2026

Where was Michael Fortey previously registered as an investment adviser?

Michael Fortey has past investment-adviser registrations through Valic Financial Advisors, Inc., April 2016 to July 2019; Sagepoint Financial, Inc., May 2015 to May 2016; Woodbury Financial Services, Inc., August 2014 to May 2015; Sagepoint Financial, Inc., October 2008 to May 2015; American General Securities Incorporated, November 2002 to October 2008, across 4 firms.

Source: IAPD individual record, checked 17 October 2026

Leadership at Valic Financial Advisors

Sources

  1. IAPD individual record, CRD 2304969. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Valic Financial Advisors, Inc., filed 13 May 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Michael Fortey or Valic Financial Advisors, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.