Eileen M. Schipper
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.
Eileen Mary Schipper, who also goes by Eileen Mary Cefalu, Eileen Cefalu, Eileen Mary Leichtenberg, was a registered financial professional .
Eileen is a previously registered financial professional and started their career in finance in 1974. Eileen had worked at 8 firms and has passed the Series 63, SIE, Series 15, Series 5 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
March 25, 1998 - August 4, 2016
VALIC FINANCIAL ADVISORS, INC.
March 19, 1998 - August 4, 2016
VALIC FINANCIAL ADVISORS, INC.
November 8, 1996 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
June 21, 1993 - December 10, 1996
CONSECO EQUITY SALES, INC.
February 12, 1993 - April 15, 1993
AMERICAN GENERAL SECURITIES INCORPORATED
October 28, 1988 - May 8, 1991
METROPOLITAN LIFE INSURANCE COMPANY
October 28, 1988 - May 8, 1991
MSI FINANCIAL SERVICES, INC.
September 2, 1987 - January 22, 1988
ADVANTAGE CAPITAL CORPORATION
February 15, 1974 - April 7, 1986
HOWARD, WEIL, LABOUISSE, FRIEDRICHS 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 15
Date: 12/13/1982
Foreign Currency Options ExaminationSeries 5
Date: 11/17/1981
Interest Rate Options 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.
