Beverly J. Lisle
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.
Beverly Joy Lisle, who also goes by B. Joy Adkins, B Joy Lisle, B. Joy Lisle, Joy B Lisle, Beverly Joy Lisle - Speer, Beverly Joy Speer, Joy Beverly Speer, was a registered financial professional .
Beverly is a previously registered financial professional and started their career in finance in 1986. Beverly had worked at 15 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2011 - July 5, 2012
VALIC FINANCIAL ADVISORS, INC.
October 17, 2011 - July 5, 2012
VALIC FINANCIAL ADVISORS, INC.
December 3, 2008 - August 2, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
December 1, 2008 - August 2, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
January 15, 2008 - September 22, 2008
MWA FINANCIAL SERVICES INC.
October 30, 2007 - December 21, 2007
STRATEGIC ADVISERS LLC
February 17, 2006 - December 21, 2007
FIDELITY BROKERAGE SERVICES LLC
July 29, 2005 - January 26, 2006
WADDELL & REED
July 28, 2005 - January 26, 2006
WADDELL & REED
November 15, 2004 - July 15, 2005
MSI FINANCIAL SERVICES, INC.
June 10, 2004 - July 15, 2005
METROPOLITAN LIFE INSURANCE COMPANY
June 10, 2004 - July 15, 2005
MSI FINANCIAL SERVICES, INC.
October 22, 2003 - June 3, 2004
EMPOWER FINANCIAL SERVICES, INC.
December 20, 2000 - October 2, 2003
CUSO FINANCIAL SERVICES, L.P.
November 23, 1999 - December 1, 2000
BANC ONE SECURITIES CORPORATION
August 29, 1997 - October 9, 1999
IDS LIFE INSURANCE COMPANY
August 29, 1997 - October 9, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
November 10, 1988 - September 8, 1997
FIRST COMMAND BROKERAGE SERVICES, INC.
February 26, 1987 - August 23, 1988
PRUCO SECURITIES, LLC.
January 22, 1986 - November 25, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
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.
