Lisa S. Stockton
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.
Lisa Sharon Stockton, who also goes by Lisa Sharon Heitner, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1990. Lisa had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 28 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 7, 2014 - May 12, 2025
VALIC FINANCIAL ADVISORS, INC.
November 7, 2014 - May 12, 2025
VALIC FINANCIAL ADVISORS, INC.
April 12, 2011 - July 25, 2014
CUSO FINANCIAL SERVICES, L.P.
April 12, 2011 - July 25, 2014
CUSO FINANCIAL SERVICES, L.P.
September 24, 2008 - March 30, 2011
OSAIC FS, INC.
September 18, 2008 - March 30, 2011
OSAIC FS, INC.
August 31, 2007 - August 14, 2008
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - August 14, 2008
VOYA FINANCIAL ADVISORS, INC.
July 23, 2002 - May 1, 2008
ELITE SECURITIES, INC.
April 21, 1998 - January 1, 2004
LOCUST STREET SECURITIES, INC.
April 18, 1996 - October 14, 1996
FIRST VARIABLE CAPITAL SERVICES, INC.
February 18, 1994 - November 2, 1995
TRADESTAR INVESTMENTS,INC.
July 7, 1993 - December 31, 1993
AMERICAN GENERAL SECURITIES INCORPORATED
October 7, 1992 - July 6, 1993
MOMENTUM INDEPENDENT NETWORK INC.
April 5, 1991 - July 16, 1991
LEHMAN BROTHERS INC.
September 4, 1990 - October 25, 1990
WELLS FARGO CLEARING SERVICES, LLC
August 23, 1990 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, 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 28
Date: 1/25/2005
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent 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.
