Sunamerica Securities, Inc. (Phoenix)


Sunamerica Securities, Inc. is a large advisory firm based in Phoenix. It manages $327.89 million of regulatory assets for 31,636 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arkansas, and 43 other states.

Sunamerica Securities provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Sunamerica Securities: assets under management

The assets under management (AUM) of Sunamerica Securities, Inc. is $327.89 million. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $16.39 million in discretionary accounts and $311.49 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.34 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $11.65 thousand.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Sunamerica Securities, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Sunamerica Securities, Inc.

Vincent James Asaro has been acting as President since 1 May 1992. Susanne Marie Denby joined the executive team most recently as the Vice President, Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
George Joseph Vaerewyck Executive vice president/chief financial officer/treasurer & assistant secretary /director 1 Jan 1989 Other 1318884
James Thomas Sinyard Vice president 1 Jul 1989 Other 1096597
Inc. ("Sfni") Sunameria Financial Network 100% shareholder of sunamerica securities, inc. 1 Aug 1991 75% - 100% 86-0623854
Aig Advisor Group 100% shareholder of sunamerica securities, inc. 1 Aug 1991 75% - 100% 86-0623854
Vincent James Asaro Chairman/ceo/president/director 1 May 1992 Other 703486
Lisa Sue Kubica Senior vice president 1 May 1992 Other 1098488
Rita Lynn Sonchik Vice president 1 May 1992 Other 1865389
Juanita Bertha Tapia Assistant vice president 1 May 1992 Other 1868076
Bridget Mary Gaughan Senior vice president/general counsel/director of compliance 1 Mar 1995 Other 2691949
Jeffrey Joseph Peters Senior vice president 1 Dec 1998 Other 3184004
Kim A Richardson Vice president 1 Jul 1999 Other 2206243
Edwin Allen Barkel Associate general counsel/assistant director of compliance 1 Oct 1999 Other 2457193
Margo Renee Spencer Vice president 1 Apr 2000 Other 1425775
Ralph Owen Jr Stauffs Vice president 1 Jul 2000 Other 3255670
Ralph Owen Jr Stauffer Vice president 1 Jul 2000 Other 3255670
Randy Gamiel Vice president 1 Aug 2000 Other 2375350
Jeffrey Francis Vivacqua Assistant vice president 1 Sep 2000 Other 2608892
Michelle Marie Thetford Assistant vice president 1 Jan 2001 Other 2397727
Kevin John Hart Ceo, sunamerica financial network/member, board of directors of sunamerica securities, inc. 1 Feb 2001 Other 1605701
Vincent James Asaro Chairman of the board/ member, board of directors 1 Mar 2001 Other 703486
James Richard Cannon President/member, board of directors 1 May 2001 Other 1755987
George Joseph Vaerewyck Executive vice president/chief financial officer/treasurer & secretary /director/member, b oard of directors 1 Jun 2001 Other 1318884
Dennis Arnold Stubblefield Chief compliance officer 1 Aug 2001 Other 4294084
Seth Howard Schwartz Chief compliance officer 1 Feb 2002 Other 2366063
Scott Allen Heising Cfo/fnop, senior vp, treasurer 1 Apr 2002 Other 2192259
Lisa Sue Kubica Srop, mp, executive vp 1 Jun 2002 Other 1098488
Christopher Blake Radford Vp 1 Jun 2002 Other 1564302
Mary L Cavanaugh Director 1 Jun 2002 Other 1977110
David Allen Fischer Senior vp , recruiting 1 Jun 2002 Other 1634222
Bridget Mary Gaughan Director 1 Jun 2002 Other 2691949
Steven Elliot Rothstein Director 1 Jun 2002 Other 1292456
Mary Louise Cavanaugh Director 1 Jun 2002 Other 1977110
Inger Wilson Fields Cfo/fnop/treasurer 1 Jan 2003 Other 1690043
Ralph Joel Parker Assistant vice president, insurance 1 Jan 2003 Other 2587496
John Daniel Mcgovern Vice president, cco, crop 1 Feb 2003 Other 1529885
Bridget Mary Gaughan Executive vice president, general counsel 1 May 2003 Other 2691949
Susanne Marie Denby Vice president, director of compliance 1 May 2003 Other 2617514
Steven Elliot Rothstein Executive vice president, cfo/treasurer 1 May 2003 Other 1292456
Rita Lynn Sonchik Vice president, accounting 1 May 2003 Other 1865389
Kenneth Paul Dorfman Crop 1 Jan 2004 Other 2460380
Michael Ronald Mcreynolds Assistant vice president, insurance 1 Feb 2004 Other 816602
Sally Hanson Bourdamis Vice president, brokerage services 1 Mar 2004 Other 1812157
Jacquelyn Marie Capriotti Vice president, vision 2020 1 Mar 2004 Other 1575021
Susanne Marie Denby Vice president, chief compliance officer 1 Nov 2004 Other 2617514
Bruce Todd Freeman Associate vice president, municipal principal 1 Nov 2004 Other 2451499

Indirect Owners

The SEC currently registers 7 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc Sunamerica Investments Shareholder 1 Sep 1990 75% - 100% 52-1128427
Sunamerica Inc. Shareholder 1 Jan 1999 75% - 100% 95-4715639
Inc. American International Group Shareholder 1 Jan 1999 75% - 100% 13-2592361
Aig Sunamerica Inc. Shareholder 1 Jan 1999 75% - 100% 95-4715639
Inc. Aig Retirement Services Shareholder 1 Jan 1999 25% - 50% 95-4715639
Sunamerica Life Insurance Co. Shareholder 1 Jan 2004 50% - 75% 52-0502540
Inc. Aig Retirement Services Shareholder 1 Jan 2004 75% - 100% 95-4715639

Based in Phoenix

The principal office where Sunamerica Securities, Inc. performs its advisory services is located at 2800 N. Central Ave., Suite 2100, Phoenix, AZ 85004 1050 The mailing address of the firm is P.O. Box 2280, Phoenix, AZ 85002 2280. An additional office of the firm is in Walnut Creek, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 602-744-3000 or by fax 602-744-3168. The normal business hours are 8:00 a.m - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at www.sunamericasecurities.com.