Kathleen Sue Dennis
Investment Adviser Representative at Valic Financial Advisors, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Kathleen Sue Dennis is an investment adviser representative with Valic Financial Advisors, Inc. in St Charles, IA, where they have been registered since 2018. They have worked in the securities industry since 1991 and have been registered with 4 firms, including IPI Wealth Management, Inc. and SII Investments, Inc. They have passed 8 industry qualification exams, including the Series 65 (investment adviser), Series 66 (combined investment adviser and state securities agent), and Series 7 (general securities representative). They are registered to provide investment advice in Iowa.
Office
Advisors at this office: 2
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Iowa
- Broker:
1 state or territory
Iowa
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Financial Services/simple SolutionsFeb 2002 – Oct 2018St Charles, IA
- SII InvestmentsJun 2015 – Dec 2017St Charles, IA
- IPI Wealth Management, Inc.Jan 2018 – Oct 2018St. Charles, IA
- Investment Planners, Inc.Jan 2018 – Oct 2018St. Charles, IA
- Valic Financial Advisors, Inc.Oct 2018 – no end date reportedOverland Park, KS
- AGIADec 2022 – no end date reportedHouston, TX
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Valic Financial Advisors, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Retirement plan services including saving and contribution planning, educational resources, and participant account management
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 1,271
- Offices listed on AdvisorFinder:
- 21
- Main office:
- Houston, TX
- SEC file number:
- 801-54952
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of May 13, 2026
View full firm profileOther advisors at Valic Financial Advisors, Inc.
Showing 12 of 1,271 in the directory
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Kathleen Sue Dennis has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
Find the right advisor for you
Take the free 3-minute assessment to get matched with advisors who fit your goals.
Get Matched