Leonard E. Clark
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Leonard Eugene Clark, who also goes by Len Clark, Lenny Clark, was a registered financial advisor .
Leonard is a previously registered financial advisor and started their career in finance in 1982. Leonard had worked at 12 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2008 - June 11, 2009
VALIC FINANCIAL ADVISORS, INC.
May 27, 2008 - June 11, 2009
VALIC FINANCIAL ADVISORS, INC.
November 13, 2002 - May 27, 2008
ALLSTATE FINANCIAL SERVICES, LLC
April 17, 2002 - October 11, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
April 2, 2002 - October 11, 2002
IDS LIFE INSURANCE COMPANY
April 2, 2002 - October 11, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
September 20, 2001 - March 6, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 16, 1999 - July 6, 2001
CHARLES SCHWAB & CO., INC.
October 21, 1998 - June 3, 1999
SUNPOINT SECURITIES, INC.
December 3, 1991 - October 15, 1998
SIMMONS & BISHOP CO. INC.
August 3, 1989 - December 17, 1991
RAUSCHER PIERCE REFSNES, INC.
June 24, 1986 - August 7, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
February 18, 1983 - July 8, 1986
E. F. HUTTON & COMPANY INC
July 20, 1982 - November 16, 1983
NATIONWIDE INVESTMENT SERVICES CORPORATION
Primary Firm SEC Registration
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
