Individual Firm
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STEVEN GEORGE BENTLEY
STEVEN G BENTLEY, STEVEN BENTLEY
CRD#: 5893915
IA
B
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 7650 EDINBOROUGH WAY
SUITE 320
EDINA, MN 55435
SUITE 320
EDINA, MN 55435
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3/11/2020
Customer Dispute
Denied
9/15/2016
Financial
Final
State Registrations
IA
Minnesota 11/12/2019
B
Virginia 2/11/2020
B
Minnesota 11/13/2019
IA
Virginia 2/11/2020
B
North Carolina 1/22/2021
B
Wisconsin 1/6/2020
IA
Texas 1/10/2020
IA
Wisconsin 1/6/2020
B
Texas 1/12/2020
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 11/12/2019
B
Registered with this firm since 11/13/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/01/2015 - 09/26/2019 | MINNEAPOLIS, MN | |
B | 04/20/2015 - 09/26/2019 | MINNEAPOLIS, MN | |
B | 04/06/2011 - 04/26/2013 | MINNEAPOLIS, MN |
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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.