George B. Toburen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
George Bradford Toburen, who also goes by Brad Toburen, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1982. George had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2010 - September 10, 2015
VALIC FINANCIAL ADVISORS, INC.
July 19, 2010 - September 10, 2015
VALIC FINANCIAL ADVISORS, INC.
December 15, 2008 - July 2, 2010
EQUITABLE ADVISORS, LLC
December 15, 2008 - July 2, 2010
EQUITABLE ADVISORS, LLC
July 21, 2008 - December 19, 2008
MSI FINANCIAL SERVICES, INC.
July 11, 2008 - December 19, 2008
MSI FINANCIAL SERVICES, INC.
August 2, 2001 - July 8, 2008
VALIC FINANCIAL ADVISORS, INC.
September 20, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
September 20, 2000 - July 8, 2008
VALIC FINANCIAL ADVISORS, INC.
April 4, 1997 - October 5, 2000
TOWER SQUARE SECURITIES, INC.
January 19, 1990 - May 30, 1995
CITISTREET EQUITIES LLC
May 29, 1987 - October 23, 1989
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 6, 1986 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
March 6, 1986 - January 23, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 6, 1986 - January 23, 1990
OSAIC FA, INC.
July 11, 1984 - October 15, 1984
INDUSTRY SAVINGS PLANS, INC.
December 7, 1983 - August 14, 1984
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 14, 1983 - May 8, 1984
MML INVESTORS SERVICES, LLC
September 24, 1982 - March 10, 1986
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
Primary Firm SEC Registration
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
