SUNAMERICA SECURITIES, INC.
CRD #20068 SEC #801-57867 PHOENIX, AZ 602-744-3000
SEC Registered Broker-Dealer
Total AUM
$128M
Discretionary
$0
Employees
51
Clients
--
Accounts
1,009
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 25, 2002
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ASARO, VINCENT JAMES | I | CHAIRMAN/CEO/PRESIDENT/DIRECTOR | NA | Control |
| ASARO, VINCENT JAMES | I | CHAIRMAN/CEO/PRESIDENT/DIRECTOR | NA | Control |
| ASARO, VINCENT JAMES | I | CHAIRMAN OF THE BOARD/ MEMBER, BOARD OF DIRECTORS | NA | Control |
| ASARO, VINCENT JAMES | I | CHAIRMAN OF THE BOARD OF DIRECTORS | NA | Control |
| BARKEL, EDWIN ALLEN | I | ASSOCIATE GENERAL COUNSEL/ASSISTANT DIRECTOR OF COMPLIANCE | NA | Control |
| BARKEL, EDWIN ALLEN | I | ASSOCIATE GENERAL COUNSEL/ASSISTANT DIRECTOR OF COMPLIANCE | NA | Control |
| BARKEL, EDWIN ALLEN | I | ASSOCIATE GENERAL COUNSEL/ASSISTANT DIRECTOR OF COMPLIANCE | NA | Control |
| BARKEL, EDWIN ALLEN | I | ASSOCIATE GENERAL COUNSEL/ASSISTANT DIRECTOR OF COMPLIANCE | NA | Control |
| BOURDAMIS, SALLY HANSON | I | VICE PRESIDENT, BROKERAGE SERVICES | NA | |
| BOURDAMIS, SALLY HANSON | I | VICE PRESIDENT, BROKERAGE SERVICES | NA | |
| BOURDAMIS, SALLY HANSON | I | VICE PRESIDENT, BROKERAGE SERVICES | NA | |
| BOURDAMIS, SALLY HANSON | I | VICE PRESIDENT, BROKERAGE SERVICES | NA | |
| CANNON, JAMES RICHARD | I | PRESIDENT/MEMBER, BOARD OF DIRECTORS | NA | Control |
| CANNON, JAMES RICHARD | I | PRESIDENT/MEMBER, BOARD OF DIRECTORS | NA | Control |
| CANNON, JAMES RICHARD | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| CANNON, JAMES RICHARD | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| CANNON, JAMES RICHARD | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| CANNON, JAMES RICHARD | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| CANNON, JAMES RICHARD | I | PRESIDENT/MEMBER, BOARD OF DIRECTORS | NA | Control |
| CAPRIOTTI, JACQUELYN MARIE | I | VICE PRESIDENT, VISION 2020 | NA | |
| CAPRIOTTI, JACQUELYN MARIE | I | VICE PRESIDENT, VISION 2020 | NA | |
| CAPRIOTTI, JACQUELYN MARIE | I | VICE PRESIDENT, VISION 2020 | NA | |
| CAPRIOTTI, JACQUELYN MARIE | I | VICE PRESIDENT, VISION 2020 | NA | |
| CAVANAUGH, MARY LOUISE | I | DIRECTOR | NA | Control |
| CAVANAUGH, MARY LOUISE | I | DIRECTOR | NA | Control |
| CAVANAUGH, MARY LOUISE | I | DIRECTOR | NA | Control |
| CAVANAUGH, MARY LOUISE | I | DIRECTOR | NA | Control |
| DENBY, SUSANNE MARIE | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| DENBY, SUSANNE MARIE | I | VICE PRESIDENT, DIRECTOR OF COMPLIANCE | NA | |
| DENBY, SUSANNE MARIE | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| DENBY, SUSANNE MARIE | I | VICE PRESIDENT, DIRECTOR OF COMPLIANCE | NA | |
| DORFMAN, KENNETH PAUL | I | CROP | NA | |
| DORFMAN, KENNETH PAUL | I | CROP | NA | |
| DORFMAN, KENNETH PAUL | I | CROP | NA | |
| DORFMAN, KENNETH PAUL | I | CROP | NA | |
| FIELDS, INGER WILSON | I | FINOP | NA | Control |
| FIELDS, INGER WILSON | I | FINOP | NA | Control |
| FIELDS, INGER WILSON | I | FINOP | NA | Control |
| FIELDS, INGER WILSON | I | FINOP | NA | Control |
| FISCHER, DAVID ALLEN | I | SENIOR VICE PRESIDENT, RECRUITING | NA | Control |
| FISCHER, DAVID ALLEN | I | SENIOR VICE PRESIDENT, RECRUITING | NA | Control |
| GAMIEL, RANDY | I | VICE PRESIDENT | NA | |
| GAMIEL, RANDY | I | VICE PRESIDENT | NA | |
| GAMIEL, RANDY | I | VICE PRESIDENT | NA | |
| GAMIEL, RANDY | I | VICE PRESIDENT | NA | |
| GAMIEL, RANDY | I | VICE PRESIDENT | NA | |
| GAUGHAN, BRIDGET MARY | I | SENIOR VICE PRESIDENT/GENERAL COUNSEL/DIRECTOR OF COMPLIANCE | NA | Control |
| GAUGHAN, BRIDGET MARY | I | SENIOR VICE PRESIDENT/GENERAL COUNSEL/DIRECTOR OF COMPLIANCE | NA | Control |
| GAUGHAN, BRIDGET MARY | I | DIRECTOR | NA | Control |
| GAUGHAN, BRIDGET MARY | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY | NA | |
| GAUGHAN, BRIDGET MARY | I | DIRECTOR | NA | Control |
| GAUGHAN, BRIDGET MARY | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY | NA | |
| GAUGHAN, BRIDGET MARY | I | DIRECTOR | NA | Control |
| GAUGHAN, BRIDGET MARY | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY | NA | |
| GAUGHAN, BRIDGET MARY | I | DIRECTOR | NA | Control |
| GAUGHAN, BRIDGET MARY | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY | NA | |
| HART, KEVIN JOHN | I | CEO, SUNAMERICA FINANCIAL NETWORK/MEMBER, BOARD OF DIRECTORS OF SUNAMERICA SECURITIES, INC. | NA | Control |
| HART, KEVIN JOHN | I | PRESIDENT AND CEO, SUNAMERICA FINANCIAL NETWORK INC./MEMBER, BOARD OF DIRECTORS OF SUNAMERICA SECURITIES, INC. | NA | Control |
| HART, KEVIN JOHN | I | PRESIDENT AND CEO, SUNAMERICA FINANCIAL NETWORK INC./MEMBER, BOARD OF DIRECTORS OF SUNAMERICA SECURITIES, INC. | NA | Control |
| KUBICA, LISA SUE | I | SENIOR VICE PRESIDENT | NA | Control |
| KUBICA, LISA SUE | I | SENIOR VICE PRESIDENT | NA | Control |
| KUBICA, LISA SUE | I | SENIOR VICE PRESIDENT | NA | Control |
| KUBICA, LISA SUE | I | SENIOR VICE PRESIDENT | NA | Control |
| KUBICA, LISA SUE | I | EXECUTIVE VICE PRESIDENT, COO, SROP, MP | NA | Control |
| KUBICA, LISA SUE | I | EXECUTIVE VICE PRESIDENT, COO, SROP, MP | NA | Control |
| KUBICA, LISA SUE | I | EXECUTIVE VICE PRESIDENT, COO, SROP, MP | NA | Control |
| KUBICA, LISA SUE | I | EXECUTIVE VICE PRESIDENT, COO, SROP, MP | NA | Control |
| KUBICA, LISA SUE | I | SENIOR VICE PRESIDENT | NA | Control |
| MCREYNOLDS, MICHAEL RONALD | I | ASSISTANT VICE PRESIDENT, INSURANCE | NA | |
| MCREYNOLDS, MICHAEL RONALD | I | ASSISTANT VICE PRESIDENT, INSURANCE | NA | |
| MCREYNOLDS, MICHAEL RONALD | I | ASSISTANT VICE PRESIDENT, INSURANCE | NA | |
| MCREYNOLDS, MICHAEL RONALD | I | ASSISTANT VICE PRESIDENT, INSURANCE | NA | |
| PARKER, RALPH JOEL | I | ASSISTANT VICE PRESIDENT, INSURANCE | NA | |
| PARKER, RALPH JOEL | I | ASSISTANT VICE PRESIDENT, INSURANCE | NA | |
| PARKER, RALPH JOEL | I | ASSISTANT VICE PRESIDENT, INSURANCE | NA | |
| PARKER, RALPH JOEL | I | ASSISTANT VICE PRESIDENT, INSURANCE | NA | |
| PETERS, JEFFREY JOSEPH | I | SENIOR VICE PRESIDENT | NA | Control |
| PETERS, JEFFREY JOSEPH | I | SENIOR VICE PRESIDENT | NA | Control |
| PETERS, JEFFREY JOSEPH | I | SENIOR VICE PRESIDENT | NA | Control |
| PETERS, JEFFREY JOSEPH | I | SENIOR VICE PRESIDENT | NA | Control |
| PETERS, JEFFREY JOSEPH | I | SENIOR VICE PRESIDENT | NA | Control |
| RADFORD, CHRISTOPHER BLAKE | I | SENIOR VICE PRESIDENT, NATIONAL SALES | NA | |
| RADFORD, CHRISTOPHER BLAKE | I | SENIOR VICE PRESIDENT, NATIONAL SALES | NA | |
| RADFORD, CHRISTOPHER BLAKE | I | SENIOR VICE PRESIDENT, NATIONAL SALES | NA | |
| RADFORD, CHRISTOPHER BLAKE | I | SENIOR VICE PRESIDENT, NATIONAL SALES | NA | |
| RICHARDSON, KIM A | I | VICE PRESIDENT | NA | |
| RICHARDSON, KIM A | I | VICE PRESIDENT | NA | |
| RICHARDSON, KIM A | I | VICE PRESIDENT | NA | |
| RICHARDSON, KIM A | I | VICE PRESIDENT | NA | |
| RICHARDSON, KIM A | I | VICE PRESIDENT | NA | |
| ROTHSTEIN, STEVEN ELLIOT | I | DIRECTOR | NA | Control |
| ROTHSTEIN, STEVEN ELLIOT | I | EXECUTIVE VICE PRESIDENT, CFO, TREASURER | NA | |
| ROTHSTEIN, STEVEN ELLIOT | I | DIRECTOR | NA | Control |
| ROTHSTEIN, STEVEN ELLIOT | I | EXECUTIVE VICE PRESIDENT, CFO, TREASURER | NA | |
| ROTHSTEIN, STEVEN ELLIOT | I | DIRECTOR | NA | Control |
| ROTHSTEIN, STEVEN ELLIOT | I | EXECUTIVE VICE PRESIDENT, CFO, TREASURER | NA | |
| ROTHSTEIN, STEVEN ELLIOT | I | DIRECTOR | NA | Control |
| ROTHSTEIN, STEVEN ELLIOT | I | EXECUTIVE VICE PRESIDENT, CFO, TREASURER | NA | |
| SCHWARTZ, SETH HOWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| SINYARD, JAMES THOMAS | I | VICE PRESIDENT | NA | |
| SINYARD, JAMES THOMAS | I | VICE PRESIDENT | NA | |
| SINYARD, JAMES THOMAS | I | VICE PRESIDENT | NA | |
| SINYARD, JAMES THOMAS | I | VICE PRESIDENT | NA | |
| SINYARD, JAMES THOMAS | I | VICE PRESIDENT | NA | |
| SONCHIK, RITA LYNN | I | VICE PRESIDENT | NA | |
| SONCHIK, RITA LYNN | I | VICE PRESIDENT | NA | |
| SONCHIK, RITA LYNN | I | VICE PRESIDENT | NA | |
| SONCHIK, RITA LYNN | I | VICE PRESIDENT | NA | |
| SONCHIK, RITA LYNN | I | VICE PRESIDENT, ACCOUNTING | NA | |
| SONCHIK, RITA LYNN | I | VICE PRESIDENT, ACCOUNTING | NA | |
| SONCHIK, RITA LYNN | I | VICE PRESIDENT, ACCOUNTING | NA | |
| SONCHIK, RITA LYNN | I | VICE PRESIDENT, ACCOUNTING | NA | |
| SONCHIK, RITA LYNN | I | VICE PRESIDENT | NA | |
| SPENCER, MARGO RENEE | I | VICE PRESIDENT | NA | |
| SPENCER, MARGO RENEE | I | VICE PRESIDENT | NA | |
| SPENCER, MARGO RENEE | I | VICE PRESIDENT | NA | |
| SPENCER, MARGO RENEE | I | VICE PRESIDENT | NA | |
| SPENCER, MARGO RENEE | I | VICE PRESIDENT | NA | |
| STAUFFER, RALPH OWEN JR | I | VICE PRESIDENT | NA | |
| STAUFFER, RALPH OWEN JR | I | VICE PRESIDENT | NA | |
| STAUFFER, RALPH OWEN JR | I | VICE PRESIDENT INFORMATION TECHNOLOGY | NA | |
| STAUFFER, RALPH OWEN JR | I | VICE PRESIDENT INFORMATION TECHNOLOGY | NA | |
| STAUFFER, RALPH OWEN JR | I | VICE PRESIDENT INFORMATION TECHNOLOGY | NA | |
| STAUFFER, RALPH OWEN JR | I | VICE PRESIDENT INFORMATION TECHNOLOGY | NA | |
| STAUFFER, RALPH OWEN JR | I | VICE PRESIDENT | NA | |
| STAUFFS, RALPH OWEN JR | I | VICE PRESIDENT | NA | |
| STAUFFS, RALPH OWEN JR | I | VICE PRESIDENT | NA | |
| STUBBLEFIELD, DENNIS ARNOLD | I | GENERAL COUNSEL | NA | |
| TAPIA, JUANITA BERTHA | I | ASSISTANT VICE PRESIDENT | NA | |
| TAPIA, JUANITA BERTHA | I | ASSISTANT VICE PRESIDENT | NA | |
| TAPIA, JUANITA BERTHA | I | ASSISTANT VICE PRESIDENT | NA | |
| TAPIA, JUANITA BERTHA | I | ASSISTANT VICE PRESIDENT | NA | |
| TAPIA, JUANITA BERTHA | I | ASSISTANT VICE PRESIDENT | NA | |
| THETFORD, MICHELLE MARIE | I | ASSISTANT VICE PRESIDENT | NA | |
| THETFORD, MICHELLE MARIE | I | ASSISTANT VICE PRESIDENT | NA | |
| THETFORD, MICHELLE MARIE | I | ASSISTANT VICE PRESIDENT | NA | |
| THETFORD, MICHELLE MARIE | I | ASSISTANT VICE PRESIDENT | NA | |
| THETFORD, MICHELLE MARIE | I | ASSISTANT VICE PRESIDENT | NA | |
| VAEREWYCK, GEORGE JOSEPH | I | EXECUTIVE VICE PRESIDENT/CHIEF FINANCIAL OFFICER/TREASURER & ASSISTANT SECRETARY /DIRECTOR | NA | Control |
| VAEREWYCK, GEORGE JOSEPH | I | EXECUTIVE VICE PRESIDENT/CHIEF FINANCIAL OFFICER/TREASURER & ASSISTANT SECRETARY /DIRECTOR | NA | Control |
| VAEREWYCK, GEORGE JOSEPH | I | EXECUTIVE VICE PRESIDENT/CHIEF FINANCIAL OFFICER/TREASURER & SECRETARY /DIRECTOR/MEMBER, B OARD OF DIRECTORS | NA | Control |
| VAEREWYCK, GEORGE JOSEPH | I | EXECUTIVE VICE PRESIDENT/CHIEF FINANCIAL OFFICER/TREASURER & SECRETARY /MEMBER, BOARD OF DIRECTORS | NA | Control |
| VAEREWYCK, GEORGE JOSEPH | I | EXECUTIVE VICE PRESIDENT/CHIEF FINANCIAL OFFICER/TREASURER & SECRETARY /MEMBER, BOARD OF DIRECTORS | NA | Control |
| VIVACQUA, JEFFREY FRANCIS | I | ASSISTANT VICE PRESIDENT | NA | |
| VIVACQUA, JEFFREY FRANCIS | I | ASSISTANT VICE PRESIDENT | NA | |
| VIVACQUA, JEFFREY FRANCIS | I | ASSISTANT VICE PRESIDENT | NA | |
| VIVACQUA, JEFFREY FRANCIS | I | ASSISTANT VICE PRESIDENT | NA | |
| VIVACQUA, JEFFREY FRANCIS | I | ASSISTANT VICE PRESIDENT | NA | |
| AIG ADVISOR GROUP | DE | 100% SHAREHOLDER OF SUNAMERICA SECURITIES, INC. | E | Control |
| AIG ADVISOR GROUP | DE | 100% SHAREHOLDER OF SUNAMERICA SECURITIES, INC. | E | Control |
| AIG ADVISOR GROUP | DE | 100% SHAREHOLDER OF SUNAMERICA SECURITIES, INC. | E | Control |
| AIG ADVISOR GROUP | DE | 100% SHAREHOLDER OF SUNAMERICA SECURITIES, INC. | E | Control |
| SUNAMERIA FINANCIAL NETWORK, INC. ("SFNI") | DE | 100% SHAREHOLDER OF SUNAMERICA SECURITIES, INC. | E | Control |
| SUNAMERIA FINANCIAL NETWORK, INC. ("SFNI") | DE | 100% SHAREHOLDER OF SUNAMERICA SECURITIES, INC. | E | Control |
| SUNAMERIA FINANCIAL NETWORK, INC. ("SFNI") | DE | 100% SHAREHOLDER OF SUNAMERICA SECURITIES, INC. | E | Control |
| SUNAMERIA FINANCIAL NETWORK, INC. ("SFNI") | DE | 100% SHAREHOLDER OF SUNAMERICA SECURITIES, INC. | E | Control |
| SUNAMERIA FINANCIAL NETWORK, INC. ("SFNI") | DE | 100% SHAREHOLDER OF SUNAMERICA SECURITIES, INC. | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| AIG RETIREMENT SERVICES, INC. | DE | SUNAMERICA LIFE INSURANCE CO. | E | Control |
| AIG RETIREMENT SERVICES, INC. | DE | SUNAMERICA LIFE INSURANCE CO. | E | Control |
| AIG RETIREMENT SERVICES, INC. | DE | SUNAMERICA LIFE INSURANCE CO. | E | Control |
| AIG SUNAMERICA INC. | DE | SUNAMERICA INVESTMENTS, INC. | E | Control |
| AMERICAN INTERNATIONAL GROUP, INC. | DE | SUNAMERICA INC. | E | Control |
| AMERICAN INTERNATIONAL GROUP, INC. | DE | SUNAMERICA INC. | E | Control |
| AMERICAN INTERNATIONAL GROUP, INC. | DE | SUNAMERICA INC. | E | Control |
| AMERICAN INTERNATIONAL GROUP, INC. | DE | SUNAMERICA INC. | E | Control |
| AMERICAN INTERNATIONAL GROUP, INC. | DE | AIG RETIREMENT SERVICES, INC. | E | Control |
| AMERICAN INTERNATIONAL GROUP, INC. | DE | AIG SUNAMERICA INC. | E | Control |
| AMERICAN INTERNATIONAL GROUP, INC. | DE | AIG RETIREMENT SERVICES, INC. | E | Control |
| AMERICAN INTERNATIONAL GROUP, INC. | DE | AIG RETIREMENT SERVICES, INC. | E | Control |
| AMERICAN INTERNATIONAL GROUP, INC. | DE | SUNAMERICA INC. | E | Control |
| SUNAMERICA INC. | DE | SUNAMERICA INVESTMENTS, INC. | E | Control |
| SUNAMERICA INC. | DE | SUNAMERICA INVESTMENTS, INC. | E | Control |
| SUNAMERICA INC. | DE | SUNAMERICA INVESTMENTS, INC. | E | Control |
| SUNAMERICA INC. | DE | SUNAMERICA INVESTMENTS, INC. | E | Control |
| SUNAMERICA INC. | DE | SUNAMERICA INVESTMENTS, INC. | E | Control |
| SUNAMERICA INVESTMENTS, INC | DE | SUNAMERICA FINANCIAL NETWORK, INC. | E | Control |
| SUNAMERICA INVESTMENTS, INC | DE | SUNAMERICA FINANCIAL NETWORK, INC. | E | Control |
| SUNAMERICA INVESTMENTS, INC | DE | SUNAMERICA FINANCIAL NETWORK, INC. | E | Control |
| SUNAMERICA INVESTMENTS, INC | DE | SUNAMERICA FINANCIAL NETWORK, INC. | E | Control |
| SUNAMERICA INVESTMENTS, INC | DE | AIG ADVISOR GROUP, INC. | E | Control |
| SUNAMERICA INVESTMENTS, INC | DE | AIG ADVISOR GROUP, INC. | E | Control |
| SUNAMERICA INVESTMENTS, INC | DE | AIG ADVISOR GROUP, INC. | E | Control |
| SUNAMERICA INVESTMENTS, INC | DE | AIG ADVISOR GROUP, INC. | E | Control |
| SUNAMERICA INVESTMENTS, INC | DE | SUNAMERICA FINANCIAL NETWORK, INC. | E | Control |
| SUNAMERICA LIFE INSURANCE CO. | DE | SUNAMERICA INVESTMENTS INC. | D | Control |
| SUNAMERICA LIFE INSURANCE CO. | DE | SUNAMERICA INVESTMENTS INC. | D | Control |
| SUNAMERICA LIFE INSURANCE CO. | DE | SUNAMERICA INVESTMENTS INC. | D | Control |
| AIG RETIREMENT SERVICES, INC. | DE | SUNAMERICA INVESTMENTS, INC. | C | Control |
| AIG RETIREMENT SERVICES, INC. | DE | SUNAMERICA INVESTMENTS, INC. | C | Control |
| AIG RETIREMENT SERVICES, INC. | DE | SUNAMERICA INVESTMENTS, INC. | C | Control |
Registrations
Federal
IA
Mar 25, 2002 REGISTERED
Notice Filings (47)
AK AL AR CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR RI SC SD TN TX UT VA VT WA WI WV
Address
2800 N. CENTRAL AVE., SUITE 2100PHOENIX, AZ 85004-1050
USA
Phone: 602-744-3000