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STEVEN WAYNE HULL
CRD#: 5319536
IA
B
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 630 WEST CARMEL DRIVE
SUITE 140
CARMEL, IN 46032
SUITE 140
CARMEL, IN 46032
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11/20/2017
Financial
Final
11/20/2017
Financial
Final
11/20/2017
Financial
Final
11/20/2017
Financial
Final
11/20/2017
Financial
Final
11/20/2017
Financial
Final
11/20/2017
Financial
Final
11/20/2017
Financial
Final
11/20/2017
Financial
Final
State Registrations
B
Indiana 9/6/2011
B
Ohio 1/22/2014
IA
Indiana 7/30/2012
IA
Ohio 1/23/2014
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 7/30/2012
B
Registered with this firm since 9/2/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/13/2009 - 08/29/2011 | FORT WAYNE, IN | |
B | 08/04/2008 - 11/13/2009 | FORT WAYNE, IN | |
B | 07/25/2007 - 08/04/2008 | CINCINNATI, OH |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.