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Detailed Report
ARTHUR STEVE LEO
CRD#: 3138677
IA
Investment Adviser
B
Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 420 EAST SOUTH TEMPLE
SUITE 430
SALT LAKE CITY, UT 84111
Registration History
20002002200420062008201020122014201620182020202220242026IAVALIC FINANCIAL ADVISORS, INC. (CRD# 42803)2003 - Present (21 years)BVALIC FINANCIAL ADVISORS, INC. (CRD# 42803)1999 - Present (25 years)BTHE VARIABLE ANNUITY MARKETING... (CRD# 5081)1999 - 2001 (2 years)
License(s)

State Registrations

B
California 11/21/2012
IA
Illinois 5/19/2021
IA
California 11/27/2012
B
New York 12/16/2011
B
Colorado 6/28/2021
IA
New York 8/16/2021
IA
Colorado 6/28/2021
B
Oregon 10/26/2016
B
Florida 7/25/2018
IA
Oregon 11/3/2016
IA
Florida 7/26/2018
B
South Dakota 4/17/2019
B
Idaho 5/4/2016
IA
South Dakota 5/2/2019
IA
Idaho 5/4/2016
B
Utah 6/24/1999
B
Illinois 5/18/2021
IA
Utah 4/24/2003

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
420 EAST SOUTH TEMPLE SUITE 430, SALT LAKE CITY, UT 84111
Registered with this firm since 4/24/2003
B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
420 EAST SOUTH TEMPLE SUITE 430, SALT LAKE CITY, UT 84111
Registered with this firm since 6/24/1999
Previous Registration(s)
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B
 01/05/1999 - 12/31/2001 THE VARIABLE ANNUITY MARKETING COMPANY (CRD#:5081) HOUSTON, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.