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STEPHEN MARK ROSSEEL
STEPHEN ROSSEEL, STEVEN MARK ROSSEEL
CRD#: 3198135
IA
Investment Adviser
B
Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 2300 WINDY RIDGE PARKWAY S.E.
SUITE 240 S
ATLANTA, GA 30339
Registration History
20002002200420062008201020122014201620182020202220242026IAVALIC FINANCIAL ADVISORS, INC. (CRD# 42803)2003 - Present (22 years)BVALIC FINANCIAL ADVISORS, INC. (CRD# 42803)2002 - Present (22 years)BAXA ADVISORS, LLC (CRD# 6627)1999 - 2002 (3 years)BTHE EQUITABLE LIFE ASSURANCE S... (CRD# 4039)1999 - 2000 (<1 year)
Disclosure(s)
View By:
1/5/2017
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 8/31/2015

B
Michigan 6/7/2017

IA
Alabama 9/1/2015

B
New Jersey 3/26/2012

B
Colorado 10/2/2013

IA
New Jersey 7/6/2023

IA
Colorado 11/13/2020

B
North Carolina 8/9/2017

B
Florida 10/30/2002

IA
North Carolina 10/27/2017

IA
Florida 4/30/2014

B
Ohio 1/29/2015

B
Georgia 9/13/2002

IA
Ohio 1/29/2015

IA
Georgia 1/31/2003

B
South Carolina 3/26/2012

B
Kentucky 8/8/2024

IA
South Carolina 4/14/2023

IA
Kentucky 8/12/2024

B
Tennessee 12/13/2016

B
Massachusetts 7/7/2021

B
Virginia 3/14/2013

IA
Massachusetts 11/3/2021

IA
Virginia 11/13/2020

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
2300 WINDY RIDGE PARKWAY S.E. SUITE 240 S, ATLANTA, GA 30339
Registered with this firm since 1/31/2003

B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
2300 WINDY RIDGE PARKWAY S.E. SUITE 240 S, ATLANTA, GA 30339
Registered with this firm since 9/13/2002

Previous Registration(s)
th hidden textth hidden textNameLocation
B
04/20/1999 - 07/24/2002 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
04/20/1999 - 01/05/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.