Steven A. Whitaker
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.
Steven Alexis Whitaker, who also goes by Steven Alexis Witaker, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1988. Steven had worked at 13 firms and has passed the Series 63, Series 7 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
July 27, 1999 - October 11, 1999
VALIC FINANCIAL ADVISORS, INC.
October 14, 1996 - October 29, 1997
INDEPENDENT FINANCIAL GROUP, LLC
August 11, 1995 - October 18, 1996
H.J. MEYERS & CO., INC.
March 22, 1994 - October 4, 1994
CAPITAL BROKERAGE CORPORATION
March 9, 1993 - August 17, 1993
GENE MORGAN FINANCIAL
July 22, 1992 - December 23, 1992
CHARLES SCHWAB & CO., INC.
September 23, 1991 - August 25, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 23, 1991 - August 25, 1992
SIGNATOR INVESTORS, INC.
February 8, 1990 - August 8, 1991
IDS LIFE INSURANCE COMPANY
February 8, 1990 - August 8, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
March 28, 1989 - February 8, 1990
MARKETING ONE SECURITIES, INC.
March 20, 1989 - April 4, 1989
PAMCO SECURITIES AND INSURANCE SERVICES
December 7, 1988 - March 29, 1989
OSBORNE, STERN & COMPANY, 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.
