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Barbara Joan Bauer

Valic Financial Advisors, Inc.

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About Barbara Joan Bauer

Barbara Joan Bauer has been active in the financial industry since 1988. Barbara is currently registered with Valic Financial Advisors, Inc. as a registered representative and investment advisor representative. Barbara is licensed to sell securities in Arizona, Delaware, Florida, New Jersey, and Pennsylvania. Barbara's previous employers include Sagepoint Financial, Inc., CCO Investment Services Corp., TD Wealth Management Services Inc., Banc of America Investment Services, Inc., BA Investment Services, Inc., and ISFA Corporation. Barbara has a total of 7 state registrations in both broker-dealer and investment advisor capacities. Barbara has 4 professional exams: Series 63, Series 65, Series 7 and SIE. Barbara works with individual investors and businesses and offers financial planning and portfolio management services.

Firm Information

Barbara Bauer is currently registered with Valic Financial Advisors, Inc.. Valic Financial Advisors, Inc. is a corporation formed in November 1996, headquartered in Houston, Texas. The firm offers financial planning, portfolio management for individuals, and selection of other advisers, among other services. They also have a wrap fee program and manage assets for both high-net-worth individuals and individuals other than high-net-worth. The firm is registered with the SEC and has a total of 52 state registrations. As of the most recent reporting period, the firm reported approximately $25.25 billion in regulatory assets under management.
Valic Financial Advisors, Inc.

2929 ALLEN PKWY; L7-20

HOUSTON, TX 77019

$25.25B

Assets Under Management

12

Total Clients

1,266

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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recommend wrap accounts to clients

Recommend wrap accounts to clients

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Barbara Bauer’s Registration & Firm History

NJ

05/25/2016 - Present

Valic Financial Advisors, Inc. (MOUNT LAUREL NJ)

NV

06/25/2014 - 03/31/2015

SAGEPOINT FINANCIAL, INC. (LAS VEGAS NV)

PA

05/12/2010 - 07/30/2012

CCO INVESTMENT SERVICES CORP. (PHILADELPHIA PA)

NJ

05/25/2001 - 02/23/2010

TD WEALTH MANAGEMENT SERVICES INC. (MAYWOOD NJ)

MA

07/12/1999 - 05/24/2001

BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)

CA

01/05/1987 - 07/12/1999

BA INVESTMENT SERVICES, INC. (OAKLAND CA)

NA

04/08/1986 - 01/08/1987

ISFA CORPORATION

NA

10/23/1985 - 03/21/1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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Licenses & Designations

IA

Issued 05/11/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/31/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/19/1985

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Barbara Joan Bauer. Review regulatory record here.
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