John T. Ruppert
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.
John Thomas Ruppert, who also goes by John T Ruppert, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2016 - February 1, 2017
VALIC FINANCIAL ADVISORS, INC.
March 17, 2014 - February 1, 2017
VALIC FINANCIAL ADVISORS, INC.
August 2, 2012 - January 27, 2014
PRUCO SECURITIES, LLC.
October 8, 2010 - July 11, 2012
ALLSTATE FINANCIAL SERVICES, LLC
March 16, 2006 - November 27, 2009
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 29, 2003 - August 4, 2005
THE LEADERS GROUP, INC.
July 30, 1996 - May 14, 2003
UBS FINANCIAL SERVICES INC.
July 23, 1996 - May 14, 2003
UBS FINANCIAL SERVICES INC.
November 23, 1983 - August 2, 1996
MORGAN STANLEY DW 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
Series 15
Date: 12/16/1988
Foreign Currency Options ExaminationSeries 5
Date: 12/16/1988
Interest Rate Options ExaminationSeries 8
Date: 2/12/1988
General Securities Sales Supervisor Examination (Options Module & General Module)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.
