Steven D. Shuman
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.
Steven David Shuman was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1982. Steven had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2014 - October 14, 2015
VALIC FINANCIAL ADVISORS, INC.
April 29, 2014 - October 14, 2015
VALIC FINANCIAL ADVISORS, INC.
October 8, 2013 - March 11, 2014
SECURIAN FINANCIAL SERVICES, INC.
September 19, 2013 - March 11, 2014
SECURIAN FINANCIAL SERVICES, INC.
August 9, 2010 - September 13, 2011
NEWPORT GROUP SECURITIES, INC.
July 26, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
July 26, 2004 - April 16, 2010
WALNUT STREET SECURITIES, INC.
July 26, 2004 - April 16, 2010
NEW ENGLAND SECURITIES
July 26, 2004 - July 7, 2010
MSI FINANCIAL SERVICES, INC.
July 1, 2001 - October 1, 2008
METLIFE INVESTORS DISTRIBUTION COMPANY
December 16, 1999 - July 1, 2001
WALNUT STREET SECURITIES, INC.
January 29, 1996 - June 24, 1999
NEW ENGLAND SECURITIES
July 11, 1991 - May 12, 1995
OSAIC FS, INC.
October 22, 1984 - March 5, 1990
NEW ENGLAND SECURITIES
December 15, 1982 - November 8, 1983
FORESTERS FINANCIAL SERVICES, INC.
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.
