Eva D. Richell
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.
Eva Dorothy Richell, who also goes by Dorothy Sue Frisch, Dorothy Sue Wagner, Eva D Wagner, Eva Dorothy Wagner, was a registered financial professional .
Eva is a previously registered financial professional and started their career in finance in 2002. Eva had worked at 6 firms and has passed the Series 66, Series 63, SIE 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
June 21, 2013 - August 2, 2024
VALIC FINANCIAL ADVISORS, INC.
June 19, 2013 - August 2, 2024
VALIC FINANCIAL ADVISORS, INC.
May 15, 2012 - June 21, 2013
HORNOR, TOWNSEND & KENT, LLC
April 7, 2011 - June 21, 2013
HORNOR, TOWNSEND & KENT, LLC
September 18, 2008 - February 16, 2011
LPL FINANCIAL LLC
September 15, 2008 - February 16, 2011
LPL FINANCIAL LLC
September 20, 2005 - September 18, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 16, 2005 - September 18, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 9, 2004 - September 16, 2005
MORGAN STANLEY DW INC.
July 23, 2004 - September 16, 2005
MORGAN STANLEY DW INC.
August 25, 2003 - July 28, 2004
A. G. EDWARDS & SONS, INC.
May 14, 2002 - July 28, 2004
A. G. EDWARDS & SONS, 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.
