Unclaimed Profile

Shawn Michael Duffy

VALIC FINANCIAL ADVISORS, INC.·HOUSTON, Texas

SIE, Series 6TO, Series 7, Series 24, Series 63, Series 99TOClean record10 years registeredVALIC FINANCIAL ADVISORS, INC.

2929 ALLEN PKWY; L7-20, HOUSTON, TX 77019CRD# 1529626Firm CRD# 42803

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Shawn Michael Duffy · HOUSTON, TX

Registration

CRD #1529626 · VALIC FINANCIAL ADVISORS, INC. · 10 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: VALIC FINANCIAL ADVISORS, INC.

ALLSTATE FINANCIAL ADVISORS, LLC

Dec 2021 – May 2023

Santa Ana, CA

VALIC FINANCIAL ADVISORS, INC.

Feb 2016 – Aug 2020

HOUSTON, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 6TO

Series 7

Series 24

Series 63

Series 99TO

Registration record

First registered · February 5, 2016

Years registered · 10

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

VALIC FINANCIAL ADVISORS, INC.

CRD 42803 · SEC 801-54952

AUM

$25.2B

Regulatory assets under management

Employees

1,713

302,501 client accounts

Services offered by VALIC FINANCIAL ADVISORS, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at VALIC FINANCIAL ADVISORS, INC. →

Introduction

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Frequently Asked Questions

What services does Shawn Michael Duffy offer?

Shawn Michael Duffy specializes in Financial Planning, Investment Management.

What are Shawn Michael Duffy's credentials?

Shawn Michael Duffy is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Shawn Michael Duffy located?

Shawn Michael Duffy is based in HOUSTON, Texas, last registered with VALIC FINANCIAL ADVISORS, INC..

How does Shawn Michael Duffy charge for services?

Shawn Michael Duffy's firm is compensated through percentage of aum, hourly charges, fixed fees, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is VALIC FINANCIAL ADVISORS, INC.?

VALIC FINANCIAL ADVISORS, INC. has approximately 1713 employees and manages $25.2B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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