SB
Stephanie J. Bunday
VALIC FINANCIAL ADVISORS
Carmel, IN 46032
Some features on this profile are disabled
CRD#: 5460507
SB
Professional summary
Stephanie Jean Bunday, who also goes by Stephanie Jean Alis, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Carmel, Indiana.
Stephanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Stephanie has worked at 1 firm and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephanie Jean Alis
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
GOLDEN GATE REALTY LLC 5679 N 525 E FRANKLIN IN 46131 NON-INVESTMENT RELATED REAL ESTATE COMPANY OCTOBER 2005 10HRS/MONTH, NONE DURING TRADING HOURS BROKER/OWNER WORKING SOLELY TO USE THIS BUSINESS FOR PERSONAL INVESTMENTS. GOLDEN GATE REALTY LLC DOES NOT EMPLOY ANY OTHER WORKERS, NOR SOLICIT BUSINESS FROM THE GENERAL PUBLIC AT THIS TIME. BOYS & GIRLS CLUBS OF JOHNSON COUNTY POSITION: Board Member NATURE: Not-for-profit Board Member for the Boys & Girls Clubs of Johnson County in Indiana. Meetings are monthly, excluding July. Charitable organization that strives to educate and provide a safe environment for children to grow and become productive members of the community. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2018 ADDRESS: 101 Hurricane Street, Franklin IN 46131. DESCRIPTION: Board Member, does not title position; serves on committees to help with event planning and strategic development for organization. Meet at club once per month; review current status and discuss plans with board members. Not in a position that controls the finances for the organization, nor in the investments. AGIA POSITION: Agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/17/2022 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Non-Securities Insurance Products RAISING SPIRITS, INC POSITION: Board Member NATURE: Raising Spirits, Inc was established in 2022 as a 501 c(3) corporation by members of the Shuck family under EIN 88-2829815. The primary exempt purpose is to host one annual fundraising event that supports other Johnson, County Indiana non-profit organizations. The organization originated from an event that was originally hosted through the Boys & Girls Clubs of Johnson County and was spun off as it's own tax exempt status. All the net funds raised are donated to the local non-profits after the event and compensation is not provided to the owners and board members. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/12/2024 ADDRESS: 1234 Heritage Trail, Franklin IN 46131, United States DESCRIPTION: Serve as Secretary for upcoming new year. Term is voted on annually. Board meets 4 times per fiscal year and prepares the venue for the annual fundraising event the day of and evening before. I volunteered the last two years as a helper for the Boys & Girls Clubs of Johnson County, where I am also a board member. My position as Secretary will require me to be present for all board meetings and to record the minutes of the meetings. This position has no compensation and the time is voluntary. I do not have access to any of the funds raised and the benefactors can change annually due to the local community needs. INDIANA NOTARY OF THE PUBLIC POSITION: n/a NATURE: Indiana Notary of the Public for the purpose of witnessing the signature for legal documents. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/31/2012 ADDRESS: 5679 N 525 E, Franklin IN 46131, United States DESCRIPTION: Meet with persons of the public to witness signatures for legal documents. Not a business, but an activity, where compensation is not exchanged in fees or charges for the service. Most activity is limited, but has been used for both Golden Gate Realty LLC, personally and with Corebridge Financial (not in conflict with any clients). KOTA HOMEBUYERS LLC POSITION: Managing Member NATURE: Kota Homebuyers LLC was started to manage rental properties with my husband. Even though the LLC is current with the Indiana SOS, this business is not actively engaged and does not generate any income. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/12/2001 ADDRESS: 5679 N 525 E, Franklin IN 46131, United States DESCRIPTION: Managing Member of Kota Homebuyers LLC. I spend zero hours on this business and receive no compensation from it.
CRS (Client Relationship Summary) - RIA
Click below to view Stephanie Jean Bunday's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephanie Jean Bunday's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 17, 2009 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 630 West Carmel Drive Suite 140, Carmel, IN 46032RIA
BD
CRD#: 42803
Carmel, IN
Current
April 7, 2008 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 630 West Carmel Drive Suite 140, Carmel, IN 46032RIA
BD
CRD#: 42803
Carmel, IN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Illinois(3/15/2021)
IAR
Illinois(3/23/2021)
RR
Indiana(4/7/2008)
IAR
Indiana(2/17/2009)
RR
Kentucky(3/15/2021)
IAR
Kentucky(3/16/2021)
RR
Michigan(3/15/2021)
IAR
Michigan(3/17/2021)
IAR
Ohio(3/15/2021)
RR
Ohio(3/16/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/1/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2919 Allen Parkway L3-20, Houston, TX 77019
Mailing Address
2919 Allen Parkway L3-20, Houston, TX 77019-2158
Phone number
(866) 544-4968
Established
Texas since 11/18/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,633
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.
