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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

STEPHEN HEIDEN

Advisor at VALIC FINANCIAL ADVISORS, INC.

CHICO, CA

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Search this name across graphsid dfx:ria:42bcf526-cbe9-c881-6836-5d766cc63ced

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 4
On other graphs: 0
Observed: Mar 23, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: VALIC FINANCIAL ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 22, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 5
Exams: S66
First exam: Mar 22, 2007
First registration: Mar 23, 2007
Dual registered: yes, broker-dealer
Other names: Steve Kent Heiden|Stephen Kent Heiden|Stephen K Heiden
IAPD individual key: 5278114

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Jan 27, 2025	n/a	yes	CHICO, CA	Current employment
ALLSTATE FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Dec 2, 2024	Jan 10, 2025	no	Cape Coral, FL\|Dunedin, FL	Previous registration
SEVERIN INVESTMENTS LLC	Independent wealth	Dec 4, 2023	Apr 29, 2024	no	Clearwater, FL	Previous registration
TD PRIVATE CLIENT WEALTH LLC	Bd affiliated wealth	Jun 29, 2023	Nov 28, 2023	no	Tampa, FL\|Tierra Verde, FL\|Tierra Verde, FL\|Sarasota, FL	Previous registration
MORGAN STANLEY	Wirehouse	Dec 1, 2020	Jun 16, 2023	no	Tampa, FL	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Dec 4, 2019	Mar 13, 2020	no	TAMPA, FL	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Oct 16, 2017	May 31, 2019	no	Corning, CA\|Chico, CA\|Oroville, CA\|Chico, CA\|Paradise, CA	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Aug 24, 2009	Oct 23, 2017	no	CHICO, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Aug 21, 2009	no	CHICO, CA\|PARADISE, CA	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Mar 23, 2007	Jan 1, 2008	no	PARADISE, CA\|ST. LOUIS, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ALLSTATE FINANCIAL ADVISORS, LLC	VALIC FINANCIAL ADVISORS, INC.	Jan 10, 2025	Jan 27, 2025	17	Firm change	Ibd to ibd
SEVERIN INVESTMENTS LLC	ALLSTATE FINANCIAL ADVISORS, LLC	Apr 29, 2024	Dec 2, 2024	217	Firm change	RIA to ibd
TD PRIVATE CLIENT WEALTH LLC	SEVERIN INVESTMENTS LLC	Nov 28, 2023	Dec 4, 2023	6	Firm change	Ibd to RIA
MORGAN STANLEY	TD PRIVATE CLIENT WEALTH LLC	Jun 16, 2023	Jun 29, 2023	13	Firm change	Wirehouse to ibd
PRUCO SECURITIES, LLC	MORGAN STANLEY	Mar 13, 2020	Dec 1, 2020	263	Firm change	Ibd to wirehouse
U.S. BANCORP INVESTMENTS, INC.	PRUCO SECURITIES, LLC	May 31, 2019	Dec 4, 2019	187	Firm change	Ibd to ibd
VALIC FINANCIAL ADVISORS, INC.	U.S. BANCORP INVESTMENTS, INC.	Oct 23, 2017	Oct 16, 2017	-7	Firm change	Other
WELLS FARGO ADVISORS	VALIC FINANCIAL ADVISORS, INC.	Aug 21, 2009	Aug 24, 2009	3	Firm change	Other
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other

Relationships

Registered with (9)

→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Aug 24, 2009 to Oct 23, 2017factForm ADV
→ ALLSTATE FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 2, 2024 to Jan 10, 2025factForm ADV
→ SEVERIN INVESTMENTS LLCRegistered adviserregistration: previous registration
Dec 4, 2023 to Apr 29, 2024factForm ADV
→ TD PRIVATE CLIENT WEALTH LLCRegistered adviserregistration: previous registration
Jun 29, 2023 to Nov 28, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Dec 1, 2020 to Jun 16, 2023factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Dec 4, 2019 to Mar 13, 2020factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Oct 16, 2017 to May 31, 2019factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Aug 21, 2009factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Mar 23, 2007 to Jan 1, 2008factForm ADV

Dated events

Occurred
Jan 10, 2025
Advisor changed firm
Stephen Heiden left Allstate Financial Advisors, Llc for Valic Financial Advisors, Inc. (registered 2025-01-27)
Form ADVobserved 6 days ago
Occurred
Apr 29, 2024
Advisor changed firm
Stephen Heiden left Severin Investments Llc for Allstate Financial Advisors, Llc (registered 2024-12-02)
Form ADVobserved 6 days ago
Occurred
Nov 28, 2023
Advisor changed firm
Stephen Heiden left Td Private Client Wealth Llc for Severin Investments Llc (registered 2023-12-04)
Form ADVobserved 6 days ago
Occurred
Jun 16, 2023
Advisor changed firm
Stephen Heiden left Morgan Stanley for Td Private Client Wealth Llc (registered 2023-06-29)
Form ADVobserved 6 days ago