David L. Cheek
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.
David Lee Cheek, who also goes by Dave Lee Cheek, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1978. David had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2011 - November 2, 2016
VALIC FINANCIAL ADVISORS, INC.
July 26, 2011 - November 2, 2016
VALIC FINANCIAL ADVISORS, INC.
May 6, 2009 - August 9, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 4, 2009 - August 9, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 5, 2007 - April 8, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 1, 2003 - January 18, 2007
AMERITAS INVESTMENT COMPANY, LLC
April 30, 1999 - October 31, 2003
THE ADVISORS GROUP, INC.
January 6, 1996 - April 23, 1999
CINCINNATI ANALYSTS, INC.
September 20, 1994 - October 10, 1995
JOHN HANCOCK DISTRIBUTORS LLC
November 25, 1986 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
November 25, 1986 - April 3, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 25, 1986 - April 3, 1990
OSAIC FA, INC.
February 2, 1978 - January 31, 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
Series 1
Date: 1/27/1978
Registered Representative ExaminationCurrent 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.
