Stephen C. Long
Professional summary
Stephen Craig Long was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen Craig Long, who also goes by Stephen Long, was a registered financial advisor .
Stephen is a previously registered financial advisor and started their career in finance in 1998. Stephen had worked at 6 firms and has passed the Series 63, Series 65, Series 7, Series 6 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2010 - October 3, 2011
VALIC FINANCIAL ADVISORS, INC.
November 30, 2010 - October 3, 2011
VALIC FINANCIAL ADVISORS, INC.
November 3, 2009 - December 2, 2010
RIDGEWAY CONGER ADVISORY SERVICES
August 24, 2009 - December 2, 2010
RIDGEWAY & CONGER, INC.
July 28, 2006 - August 24, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 28, 2006 - August 24, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2006 - August 2, 2006
J.P. MORGAN SECURITIES INC.
February 23, 1999 - August 9, 2006
BANC ONE SECURITIES CORPORATION
September 15, 1998 - July 1, 2006
BANC ONE SECURITIES CORPORATION
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 2
Date: 2/14/1995
Non-Member General Securities 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.
