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Stephen James Gaubert

Valic Financial Advisors, Inc.

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About Stephen James Gaubert

Stephen James Gaubert is a financial advisor registered with Valic Financial Advisors, Inc., and has been in the industry since August 15, 2000. Stephen is licensed to provide financial advice in Arizona, Idaho, Louisiana, Mississippi, North Carolina, Oklahoma, and Texas. Stephen currently serves as a registered representative at Valic Financial Advisors, Inc. in Baton Rouge, LA. Stephen is an investment advisor representative and has been licensed since 2003.

Firm Information

Stephen Gaubert 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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Stephen Gaubert’s Registration & Firm History

LA

01/25/2021 - Present

Valic Financial Advisors, Inc. (BATON ROUGE LA)

TX

08/16/2000 - 12/31/2001

THE VARIABLE ANNUITY MARKETING COMPANY (HOUSTON TX)

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Licenses & Designations

BOTH

Issued 03/21/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/15/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/05/2002

Series 7 - General Securities Representative Examination

BC

Issued 08/15/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Stephen James Gaubert. Review regulatory record here.
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