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Michael Bubel

Allworth Financial, L.P.

Folsom, CA

Houston, TX

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Current Employers
Allworth Financial, L.P.

340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-11-15
  • TX RA
    APPROVED
    Since 2022-11-15

Branch Locations

340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States

1800 West Loop South Suite 1980, Houston, TX 77027 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Valic Financial Advisors, Inc. Houston TX 08/2013 10/2022
Aw Securities Folsom CA 10/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-10-29
S63 Uniform Securities Agent State Law Examination 2002-01-25
  • S65 Uniform Investment Adviser Law Examination
    2013-10-29
  • S63 Uniform Securities Agent State Law Examination
    2002-01-25
Other Names
  • Michael Dennis Bubel

View on SEC IAPD

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