Craig S. Avellar
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.
Craig Stephen Avellar, CFP®, CLU®, who also goes by Craig Avellar, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1987. Craig had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 55, Series 51, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2005
Experience
April 24, 2019 - October 19, 2023
VALIC FINANCIAL ADVISORS, INC.
April 22, 2019 - October 19, 2023
VALIC FINANCIAL ADVISORS, INC.
May 15, 2017 - August 13, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 3, 2017 - August 13, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 4, 2016 - May 2, 2017
BANCWEST INVESTMENT SERVICES, INC.
March 29, 2016 - May 2, 2017
BANCWEST INVESTMENT SERVICES, INC.
September 18, 2002 - July 26, 2012
BANCWEST INVESTMENT SERVICES, INC.
January 29, 2002 - July 26, 2012
BANCWEST INVESTMENT SERVICES, INC.
April 7, 1999 - January 23, 2001
BANCWEST INVESTMENT SERVICES, INC.
December 5, 1995 - April 13, 1999
MUTUAL SECURITIES, INC.
April 21, 1992 - November 20, 1995
WELLS FARGO CLEARING SERVICES, LLC
October 16, 1989 - April 24, 1992
PRUDENTIAL EQUITY GROUP, LLC
January 12, 1988 - October 21, 1989
MUNICICORP OF CALIFORNIA
December 22, 1987 - January 28, 1988
STONERIDGE SECURITIES, 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 55
Date: 4/26/2002
Limited Representative-Equity Trader ExamCurrent 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.
