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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)22 years in industry

FELIX F BARRAZA

Advisor at VALIC FINANCIAL ADVISORS, INC.

HOUSTON, TX

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Search this name across graphsid dfx:ria:9855ffe3-ba3a-5b91-47b2-af5637c46c65

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 18, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: VALIC FINANCIAL ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 29, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 17
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Dec 29, 2003
First registration: Mar 18, 2004
Dual registered: yes, broker-dealer
Other names: FELIX BARRAZA
IAPD individual key: 4734453

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Oct 25, 2012	n/a	yes	HOUSTON, TX	Current employment
NOVODYN ADVISORS LLC	State registered	Feb 17, 2011	Oct 16, 2012	no	THE WOODLANDS, TX	Previous registration
HMB STONEBRIDGE, INC.	n/a	Mar 29, 2010	Feb 1, 2011	no	HOUSTON, TX	Previous registration
ZACKS INVESTMENT MANAGEMENT, INC.	Mixed wealth	Apr 20, 2009	Apr 5, 2010	no	CHICAGO, IL	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 6, 2005	Sep 24, 2008	no	HOUSTON, TX\|HOUSTON, TX	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	Nov 29, 2004	Jul 6, 2005	no	HOUSTON, TX	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Mar 18, 2004	Nov 15, 2004	no	HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NOVODYN ADVISORS LLC	VALIC FINANCIAL ADVISORS, INC.	Oct 16, 2012	Oct 25, 2012	9	Firm change	Other
HMB STONEBRIDGE, INC.	NOVODYN ADVISORS LLC	Feb 1, 2011	Feb 17, 2011	16	Firm change	Other
ZACKS INVESTMENT MANAGEMENT, INC.	HMB STONEBRIDGE, INC.	Apr 5, 2010	Mar 29, 2010	-7	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	ZACKS INVESTMENT MANAGEMENT, INC.	Sep 24, 2008	Apr 20, 2009	208	Firm change	Other
BANC ONE SECURITIES CORPORATION	CHASE INVESTMENT SERVICES CORP.	Jul 6, 2005	Jul 6, 2005	0	Bulk transfer	Other
MSI FINANCIAL SERVICES, INC.	BANC ONE SECURITIES CORPORATION	Nov 15, 2004	Nov 29, 2004	14	Firm change	Other

Relationships

Registered with (7)

→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: current employment
Oct 25, 2012 to presentfactForm ADV
→ NOVODYN ADVISORS LLCRegistered adviserregistration: previous registration
Feb 17, 2011 to Oct 16, 2012factForm ADV
→ HMB STONEBRIDGE, INC.Registered adviserregistration: previous registration
Mar 29, 2010 to Feb 1, 2011factForm ADV
→ ZACKS INVESTMENT MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 20, 2009 to Apr 5, 2010factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jul 6, 2005 to Sep 24, 2008factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Nov 29, 2004 to Jul 6, 2005factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Mar 18, 2004 to Nov 15, 2004factForm ADV

Dated events

No dated event names this entity yet.