Stephen K. Heiden
Professional summary
Stephen K Heiden, who also goes by Stephen K Heiden, Stephen Kent Heiden, Steve Kent Heiden, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Chico, California.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Stephen has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen K Heiden's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen K Heiden's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 27, 2025 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 21 Hanover Lane Suite B, Chico, CA 95973January 27, 2025 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 21 Hanover Lane Suite B, Chico, CA 95973December 2, 2024 - January 10, 2025
ALLSTATE FINANCIAL ADVISORS, LLC
October 24, 2024 - January 10, 2025
ALLSTATE FINANCIAL SERVICES, LLC
December 4, 2023 - April 29, 2024
SEVERIN INVESTMENTS LLC
June 29, 2023 - November 28, 2023
TD PRIVATE CLIENT WEALTH LLC
June 2, 2023 - November 28, 2023
TD PRIVATE CLIENT WEALTH LLC
December 1, 2020 - June 16, 2023
MORGAN STANLEY
November 30, 2020 - June 16, 2023
MORGAN STANLEY
December 4, 2019 - March 13, 2020
PRUCO SECURITIES, LLC.
December 3, 2019 - March 13, 2020
PRUCO SECURITIES, LLC.
October 16, 2017 - May 31, 2019
U.S. BANCORP INVESTMENTS, INC.
October 16, 2017 - May 31, 2019
U.S. BANCORP INVESTMENTS, INC.
August 24, 2009 - October 23, 2017
VALIC FINANCIAL ADVISORS, INC.
August 24, 2009 - October 23, 2017
VALIC FINANCIAL ADVISORS, INC.
January 1, 2008 - August 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - August 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
March 23, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
March 9, 2007 - January 3, 2008
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
(5/8/2025)
(5/13/2025)
(1/27/2025)
(1/27/2025)
(10/15/2025)
(10/15/2025)
(6/16/2025)
(6/16/2025)
Exams
FINRA
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.
