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Stephen James Gaubert

Valic Financial Advisors, Inc.

Baton Rouge, LA

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Current Employers
Valic Financial Advisors, Inc.

2919 Allen Pkwy, Houston, TX 77019 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-01-06
MT RA APPROVED 2025-09-30
ID RA APPROVED 2023-08-15
OK RA APPROVED 2023-03-14
AZ RA APPROVED 2021-02-12
TX RA APPROVED_RES 2021-01-25
NC RA APPROVED 2018-07-10
MS RA APPROVED 2006-03-28
LA RA APPROVED 2003-07-10
  • CA RA
    APPROVED
    Since 2026-01-06
  • MT RA
    APPROVED
    Since 2025-09-30
  • ID RA
    APPROVED
    Since 2023-08-15
  • OK RA
    APPROVED
    Since 2023-03-14
  • AZ RA
    APPROVED
    Since 2021-02-12
  • TX RA
    APPROVED_RES
    Since 2021-01-25
  • NC RA
    APPROVED
    Since 2018-07-10
  • MS RA
    APPROVED
    Since 2006-03-28
  • LA RA
    APPROVED
    Since 2003-07-10

Branch Locations

8545 United Plaza Boulevard Suite 220, Baton Rouge, LA 70809 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Valic Financial Advisors Baton Rouge LA 07/2000 Present
Agia Houston TX 12/2022 Present
  • 07/2000 → Present
    Valic Financial Advisors
    Baton Rouge, LA
  • 12/2022 → Present
    Agia
    Houston, TX
Other Businesses

AGIA POSITION: Agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/17/2022 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Non-Securities Insurance Products

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-03-21
S63 Uniform Securities Agent State Law Examination 2000-09-15
  • S66 Uniform Combined State Law Examination
    2006-03-21
  • S63 Uniform Securities Agent State Law Examination
    2000-09-15

View on SEC IAPD

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