Dee L. Hendon
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.
Dee Loyde Hendon, who also goes by Dee Loyde Hendon Jr, Dee Hendon, was a registered financial professional .
Dee is a previously registered financial professional and started their career in finance in 1981. Dee had worked at 11 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2013 - January 16, 2014
VALIC FINANCIAL ADVISORS, INC.
March 26, 2013 - January 16, 2014
VALIC FINANCIAL ADVISORS, INC.
February 2, 2012 - June 27, 2012
MERRIMAC CORPORATE SECURITIES, INC.
February 1, 2012 - June 27, 2012
MERRIMAC CORPORATE SECURITIES, INC.
May 10, 2011 - January 12, 2012
HARRISDIRECT LLC
March 10, 2011 - January 12, 2012
E*TRADE SECURITIES LLC
November 8, 2010 - March 1, 2011
ALLSTATE FINANCIAL SERVICES, LLC
February 23, 2009 - August 24, 2010
INTERNATIONAL ASSETS ADVISORY, LLC
September 19, 2008 - February 17, 2009
PRINCIPAL SECURITIES, INC.
February 5, 2004 - April 18, 2005
SOURCE CAPITAL GROUP, INC.
January 17, 2003 - December 17, 2003
ALLEN DOUGLAS SECURITIES, INC.
April 3, 1998 - April 9, 1999
PRINCIPAL SECURITIES, INC.
October 26, 1994 - January 9, 1995
INTERNATIONAL ASSETS ADVISORY, LLC
September 16, 1994 - December 31, 1996
PFS INVESTMENTS INC.
March 25, 1981 - April 15, 1985
TOWER SQUARE 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.
