KATHY LEANNE ROSADO is currently employed as a Broker and/or Investment Adviser at VALIC FINANCIAL ADVISORS, INC. located at 2929 ALLEN PARKWAY, HOUSTON, TX, 77019.

KATHY LEANNE ROSADO has worked at VALIC FINANCIAL ADVISORS, INC. since September 25, 2006

Disclosure History

KATHY LEANNE ROSADO has 1 Disclosure Event(s).

Date: November 07, 2016
Category: Regulatory
Allegations: On April 6, 2016, VALIC Financial Advisors, Inc. (VFA) filed an insurance agency application on behalf of VFA in the State of Louisiana, which Ms. Rosado signed as the responsible licensed producer of. Due to an administrative error, the application failed to include certain VFA regulatory disclosures. Upon recognizing the error, VFA amended its insurance agency application on September 30. On November 7, the state of Louisiana Department of Insurance issued an administrative fine against VFA and Ms. Rosado in the amount of $500 for failing to include the regulatory disclosures in the initial application.
Resolution: Settled SanctionDetails:
Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails:
Amount: $500.00

More Information

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