Stephen M. Hughes

VALIC FINANCIAL ADVISORS

HOUSTON, TX 77019

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CRD#: 2098910

Professional summary

Stephen Matthew Hughes is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Houston, Texas.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Stephen has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

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

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Matthew Hughes's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Stephen Matthew Hughes's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 29, 2000 - Present

VALIC FINANCIAL ADVISORS, INC.

Office #1: 2777 Allen Parkway Rp-01, Houston, TX 77019

RIA

CRD#: 42803

HOUSTON, TX

Current

April 5, 1999 - Present

VALIC FINANCIAL ADVISORS, INC.

Office #1: 2777 Allen Parkway Rp-01, Houston, TX 77019

RIA

CRD#: 42803

HOUSTON, TX

Past

December 10, 2013 - March 23, 2017

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

HOUSTON, TX

Past

August 9, 2002 - May 11, 2009

AMERICAN GENERAL FINANCIAL ADVISORS, INC.

RIA

CRD#: 121111

SACRAMENTO, CA

Past

January 28, 2000 - December 31, 2001

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

Past

January 13, 1998 - November 15, 2000

GATEWAY INVESTMENT SERVICES, INC.

CRD#: 31153

OAK PARK, IL

Past

June 20, 1996 - December 3, 1997

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

January 22, 1996 - June 11, 1996

U.S. BANCORP SECURITIES

CRD#: 17439

PORTLAND, OR

Past

April 27, 1994 - December 31, 1995

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

November 15, 1990 - October 18, 1993

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803 / SEC#: 801-54952, 8-50018

RIA

Registered Investment Advisory firm - SEC (10/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(5/31/2022)

IAR

Alabama
(6/1/2022)

Alaska
(5/31/2022)

IAR

Alaska
(6/2/2022)

Arizona
(5/31/2022)

IAR

Arizona
(6/9/2022)

Arkansas
(5/31/2022)

IAR

Arkansas
(6/6/2022)

California
(5/31/2022)

IAR

California
(6/1/2022)

Colorado
(5/31/2022)

IAR

Colorado
(6/1/2022)

Connecticut
(5/31/2022)

IAR

Connecticut
(6/1/2022)

Delaware
(5/31/2022)

IAR

Delaware
(6/7/2022)

District of Columbia
(5/31/2022)

IAR

District of Columbia
(5/15/2025)

Florida
(5/31/2022)

IAR

Florida
(6/1/2022)

Georgia
(5/31/2022)

IAR

Georgia
(6/1/2022)

Hawaii
(5/31/2022)

IAR

Hawaii
(6/1/2022)

Idaho
(5/31/2022)

IAR

Idaho
(6/1/2022)

Illinois
(5/31/2022)

IAR

Illinois
(6/6/2022)

Indiana
(5/31/2022)

IAR

Indiana
(6/1/2022)

Iowa
(5/31/2022)

IAR

Iowa
(6/1/2022)

Kansas
(5/31/2022)

IAR

Kansas
(6/1/2022)

Kentucky
(5/31/2022)

IAR

Kentucky
(6/1/2022)

Louisiana
(5/31/2022)

IAR

Louisiana
(6/3/2022)

Maine
(5/31/2022)

IAR

Maine
(6/1/2022)

Maryland
(5/31/2022)

IAR

Maryland
(7/25/2022)

Massachusetts
(5/31/2022)

IAR

Massachusetts
(5/8/2023)

Michigan
(5/31/2022)

IAR

Michigan
(6/3/2022)

Minnesota
(5/31/2022)

IAR

Minnesota
(6/1/2022)

Mississippi
(5/31/2022)

IAR

Mississippi
(6/2/2022)

Missouri
(5/31/2022)

IAR

Missouri
(6/1/2022)

Montana
(6/1/2022)

IAR

Montana
(6/1/2022)

Nebraska
(5/31/2022)

IAR

Nebraska
(6/1/2022)

Nevada
(5/31/2022)

IAR

Nevada
(6/16/2022)

New Hampshire
(5/31/2022)

IAR

New Hampshire
(6/3/2022)

New Jersey
(5/31/2022)

IAR

New Jersey
(6/7/2022)

New Mexico
(5/31/2022)

IAR

New Mexico
(6/1/2022)

New York
(5/31/2022)

IAR

New York
(6/1/2022)

North Carolina
(5/31/2022)

IAR

North Carolina
(6/1/2022)

North Dakota
(5/31/2022)

IAR

North Dakota
(6/6/2022)

Ohio
(6/1/2022)

IAR

Ohio
(6/1/2022)

Oklahoma
(5/31/2022)

IAR

Oklahoma
(6/2/2022)

Oregon
(5/31/2022)

IAR

Oregon
(6/1/2022)

Pennsylvania
(5/31/2022)

IAR

Pennsylvania
(6/1/2022)

Rhode Island
(5/31/2022)

IAR

Rhode Island
(6/1/2022)

South Carolina
(5/31/2022)

IAR

South Carolina
(6/8/2022)

South Dakota
(5/31/2022)

IAR

South Dakota
(6/30/2022)

Tennessee
(5/31/2022)

Texas
(12/21/2017)

IAR

Texas
(12/22/2017)

Utah
(5/31/2022)

IAR

Utah
(6/1/2022)

Vermont
(5/31/2022)

IAR

Vermont
(6/1/2022)

Virginia
(5/31/2022)

IAR

Virginia
(6/1/2022)

Washington
(5/31/2022)

IAR

Washington
(6/6/2022)

West Virginia
(5/31/2022)

IAR

West Virginia
(6/3/2022)

Wisconsin
(5/31/2022)

IAR

Wisconsin
(6/1/2022)

Wyoming
(5/31/2022)

IAR

Wyoming
(6/1/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/22/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/11/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/13/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/12/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803 / SEC#: 801-54952, 8-50018

RIA

Registered Investment Advisory firm - SEC (10/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

2919 Allen Parkway L3-20, Houston, TX 77019

Mailing Address

2919 Allen Parkway L3-20, Houston, TX 77019-2158

Phone number

(866) 544-4968

Established

Texas since 11/18/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

1,633

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM BROCHURE FOR THE GUIDED PORTFOLIO SERVICES PROGRAM- VC23988 (9/8/2025)

MIP UNIFIED MANAGED ACCOUNT PROGRAM (3/28/2025)

FINANCIAL PLANNING & CONSULTING SERVICES BROCHURE (3/28/2025)

WRAP FEE PROGRAM BROCHURE FOR VFA MANAGED INVESTMENT PROGRAM - VC23987 (3/28/2025)

WRAP FEE PROGRAM BROCHURE FOR THE GUIDED PORTFOLIO ADVANTAGE PROGRAM - VC38857 (3/28/2025)

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	Cover Page	Report
01/27/2025	Cover Page	Report
04/29/2024	Cover Page	Report
04/28/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Stephen M. Hughes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Matthew Hughes's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Stephen Matthew Hughes's CRS (Customer Relationship Summary).

Certified licenses

Experience

VALIC FINANCIAL ADVISORS, INC.

COREBRIDGE CAPITAL SERVICES, INC.

AMERICAN GENERAL FINANCIAL ADVISORS, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

GATEWAY INVESTMENT SERVICES, INC.

INDEPENDENT FINANCIAL SECURITIES, INC.

U.S. BANCORP SECURITIES

ESSEX NATIONAL SECURITIES, LLC

INVEST FINANCIAL CORPORATION

Primary Firm SEC Registration

VALIC FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/1999

Series 63

Date: 12/11/1990

SIE

Date: 10/1/2018

Series 7

Date: 11/13/1990

Series 24

Date: 1/12/1995

FINRA

Current Firm

VALIC FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

VALIC FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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