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Current Employers
Valic Financial Advisors, Inc.

2919 Allen Pkwy, Houston, TX 77019 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2025-08-24
AL RA APPROVED 2025-01-23
GA RA APPROVED 2024-10-16
NC RA APPROVED 2024-10-11
FL RA APPROVED 2022-09-07
  • MD RA
    APPROVED
    Since 2025-08-24
  • AL RA
    APPROVED
    Since 2025-01-23
  • GA RA
    APPROVED
    Since 2024-10-16
  • NC RA
    APPROVED
    Since 2024-10-11
  • FL RA
    APPROVED
    Since 2022-09-07

Branch Locations

1800 North Military Trail Suite 340, Boca Raton, FL 33431 • 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
Wells Fargo Bank Na Palm Beach Gardens FL 04/2016 10/2020
Northwestern Mutual Life Insurance Company Milwaukee WI 11/2020 12/2020
Northwestern Mutual Investment Services Llc/Warner Fin. Group Palm Bch Gdns FL 11/2020 12/2020
Wells Fargo Clearing Services, Llc Boynton Beach FL 11/2021 08/2022
Wells Fargo Bank, Na Boynton Beach FL 11/2021 08/2022
Conifer Health Solutions Delray Beach FL 01/2021 04/2021
Pnc Bank Na Wellington FL 04/2021 11/2021
Papa John's Pizza West Palm Beach FL 09/2021 Present
Valic Financial Advisors, Inc. Boca Raton FL 09/2022 Present
Agia Houston TX 12/2022 Present
  • 04/2016 → 10/2020
    Wells Fargo Bank Na
    Palm Beach Gardens, FL
  • 11/2020 → 12/2020
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 11/2020 → 12/2020
    Northwestern Mutual Investment Services Llc/Warner Fin. Group
    Palm Bch Gdns, FL
  • 11/2021 → 08/2022
    Boynton Beach, FL
  • 11/2021 → 08/2022
    Wells Fargo Bank, Na
    Boynton Beach, FL
  • 01/2021 → 04/2021
    Conifer Health Solutions
    Delray Beach, FL
  • 04/2021 → 11/2021
    Pnc Bank Na
    Wellington, FL
  • 09/2021 → Present
    Papa John's Pizza
    West Palm Beach, FL
  • 09/2022 → Present
    Boca Raton, FL
  • 12/2022 → Present
    Agia
    Houston, TX
Previous Registrations
Other Businesses

PAPA JOHN'S; NOT INV. RELATED; WEST PALM BEACH,FL; DELIVERY DRIVER; START DATE 10/01/2021; NUMBER OF HOURS PER MONTH 100; NUMBER OF HOURS DURING TRADING 0; DELIVERING FOOD TO CUSTOMERS. 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 2022-02-08
S63 Uniform Securities Agent State Law Examination 2017-11-09
  • S66 Uniform Combined State Law Examination
    2022-02-08
  • S63 Uniform Securities Agent State Law Examination
    2017-11-09
Other Names
  • Steven Fraser
  • Steven James Fraser
  • Steven James Fraser

View on SEC IAPD

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