J. Robert Grubbs
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.
J. Robert Grubbs, who also goes by Bob Grubbs, Bobby Grubbs, J R Grubbs, J Robert Grubbs, J Robert Grubbs, J. Robert Grubbs, James R Grubbs, James Robert Grubbs, was a registered financial professional .
J. Robert is a previously registered financial professional and started their career in finance in 1994. J. Robert had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2014 - January 11, 2017
VALIC FINANCIAL ADVISORS, INC.
December 23, 2014 - January 11, 2017
VALIC FINANCIAL ADVISORS, INC.
September 28, 2012 - January 7, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 28, 2012 - January 7, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 27, 2009 - May 7, 2012
BB&T INVESTMENT SERVICES, INC.
January 26, 2009 - May 7, 2012
BB&T INVESTMENT SERVICES, INC.
June 23, 2008 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
June 23, 2008 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
March 11, 2004 - January 31, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - January 31, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 22, 1996 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
July 19, 1994 - March 22, 1996
MARINER FINANCIAL SERVICES, INC.
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.
