John D. Mcpheron
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 Dean Mcpheron, who also goes by John Mcpheron, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 8 firms and has passed the Series 66, Series 63, Series 7, Series 22, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2012 - January 29, 2014
VALIC FINANCIAL ADVISORS, INC.
August 16, 2012 - January 29, 2014
VALIC FINANCIAL ADVISORS, INC.
January 6, 2012 - August 17, 2012
ALLSTATE FINANCIAL ADVISORS, LLC
January 6, 2012 - August 17, 2012
ALLSTATE FINANCIAL SERVICES, LLC
June 25, 2004 - December 7, 2011
VALIC FINANCIAL ADVISORS, INC.
June 25, 2004 - December 7, 2011
VALIC FINANCIAL ADVISORS, INC.
February 11, 2004 - July 7, 2004
CHARLES SCHWAB & CO., INC.
June 27, 1991 - July 7, 2004
CHARLES SCHWAB & CO., INC.
January 4, 1991 - May 22, 1991
CAMBIO SECURITIES CORPORATION
June 13, 1990 - September 17, 1990
BRAUVIN SECURITIES, INC.
July 7, 1989 - October 18, 1989
R.I.C. SECURITIES, INC.
May 17, 1984 - May 1, 1989
CAMERON, MURPHY & SPANGLER, 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.
