Charles E. Stratton
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.
Charles Elmer Stratton, who also goes by Chuck Stratton, was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1983. Charles had worked at 9 firms and has passed the Series 63, Series 7 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
March 23, 2006 - August 7, 2007
VALIC FINANCIAL ADVISORS, INC.
March 23, 2006 - August 7, 2007
VALIC FINANCIAL ADVISORS, INC.
October 24, 2005 - March 23, 2006
VALIC FINANCIAL ADVISORS, INC.
October 14, 2005 - March 23, 2006
VALIC FINANCIAL ADVISORS, INC.
June 24, 1998 - October 18, 2005
AMERICAN GENERAL DISTRIBUTORS, INC.
July 1, 1996 - September 17, 1996
LOCUST STREET SECURITIES, INC.
May 4, 1995 - July 1, 1996
CAL FED INVESTMENTS
May 8, 1991 - December 31, 1993
MARINER FINANCIAL SERVICES, INC.
December 21, 1987 - May 30, 1989
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
August 27, 1986 - October 14, 1987
MML INVESTORS SERVICES, LLC
May 20, 1985 - September 3, 1986
BOARDWALK CAPITAL CORPORATION
January 19, 1983 - January 13, 1984
A. G. EDWARDS & SONS, 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.
