Mark D. Beninga
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.
Mark Duane Beninga was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1980. Mark had worked at 15 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
September 25, 2014 - October 2, 2014
VALIC FINANCIAL ADVISORS, INC.
September 22, 2014 - October 2, 2014
VALIC FINANCIAL ADVISORS, INC.
May 1, 2013 - June 25, 2014
FORTA FINANCIAL GROUP, INC.
May 1, 2013 - June 25, 2014
FORTA FINANCIAL GROUP, INC.
June 28, 2007 - May 2, 2013
VALIC FINANCIAL ADVISORS, INC.
April 30, 2007 - May 2, 2013
VALIC FINANCIAL ADVISORS, INC.
April 28, 2006 - April 20, 2007
COMMUNITY BANKERS SECURITIES, LLC
March 14, 1994 - June 8, 1995
G.R. STUART & COMPANY, INC.
March 17, 1989 - July 23, 1992
WELLS INVESTMENT SECURITIES,INC.
October 17, 1988 - November 29, 1988
STATE STREET SECURITIES, INC.
April 8, 1988 - October 6, 1988
NTB FINANCIAL CORPORATION
May 12, 1987 - March 31, 1988
CHELSEA SECURITIES, INC.
March 12, 1987 - April 8, 1987
STONERIDGE SECURITIES, INC.
October 9, 1985 - March 14, 1987
INVESTACORP, INC.
January 18, 1985 - March 4, 1985
DENVER SECURITIES CORPORATION
October 13, 1983 - August 14, 1984
B. J. LEONARD AND COMPANY, INC.
January 12, 1983 - October 6, 1983
SECO SECURITIES, INC.
March 9, 1981 - August 10, 1982
ENGLER-BUDD & COMPANY INC.
July 28, 1980 - March 18, 1981
AMERICAN WESTERN SECURITIES, 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.
