Linda C. Leong
Professional summary
Linda Chih Ling Leong was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Linda is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Linda had worked at 10 firms, which includes VALIC FINANCIAL ADVISORS INC., NATIONAL PLANNING CORPORATION, B.B. GRAHAM & COMPANY INC., SECURITIES AMERICA ADVISORS INC., SECURITIES AMERICA INC., INDEPENDENT FINANCIAL GROUP LLC, SENTRA SECURITIES CORPORATION, TRANSAMERICA FINANCIAL ADVISORS INC., NYLIFE SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2018 - August 10, 2021
VALIC FINANCIAL ADVISORS, INC.
September 28, 2018 - August 10, 2021
VALIC FINANCIAL ADVISORS, INC.
February 18, 2016 - September 26, 2017
NATIONAL PLANNING CORPORATION
February 11, 2016 - September 26, 2017
NATIONAL PLANNING CORPORATION
December 12, 2011 - December 31, 2015
B.B. GRAHAM & COMPANY, INC.
December 12, 2011 - December 31, 2015
B.B. GRAHAM & COMPANY, INC.
December 24, 2008 - November 21, 2011
SECURITIES AMERICA ADVISORS, INC.
December 23, 2008 - November 21, 2011
SECURITIES AMERICA, INC.
October 21, 2005 - September 2, 2008
INDEPENDENT FINANCIAL GROUP, LLC
December 15, 2003 - October 21, 2005
INDEPENDENT FINANCIAL GROUP, LLC
December 15, 2003 - September 2, 2008
INDEPENDENT FINANCIAL GROUP, LLC
December 5, 2002 - December 19, 2003
SENTRA SECURITIES CORPORATION
January 16, 1997 - December 19, 2003
SENTRA SECURITIES CORPORATION
July 23, 1993 - January 29, 1997
TRANSAMERICA FINANCIAL ADVISORS, INC.
March 6, 1992 - May 20, 1993
NYLIFE SECURITIES 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.
