PS
Paul M. Schaefer
VALIC FINANCIAL ADVISORS
Little Rock, AR
Some features on this profile are disabled
CRD#: 2771929
PS
Professional summary
Paul Michael Schaefer, who also goes by Paul M Schaefer, Paul Schaefer, Paul Michael Schaefer, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Little Rock, Arkansas.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Paul has worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul M Schaefer | Paul Schaefer | Paul Michael Schaefer
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: Non-securities insurance products INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2024 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Appointed as agent to sell non-securities products for AGIA
CRS (Client Relationship Summary) - RIA
Click below to view Paul Michael Schaefer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Michael Schaefer's 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®
NoneExperience
Current
November 12, 2024 - Present
VALIC FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 42803
Little Rock, AR
Current
September 17, 2024 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 13220 Metcalf Suite 360, Overland Park, KS 66213RIA
BD
CRD#: 42803
Overland Park, KS
Past
January 1, 2015 - November 4, 2015
ST. BERNARD FINANCIAL SERVICES, INC.
BD
CRD#: 36956
RUSSELLVILLE, AR
Past
March 1, 2013 - May 21, 2013
WFG ADVISORS, LP
RIA
CRD#: 125073
LITTLE ROCK, AR
Past
June 11, 2012 - February 28, 2013
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
MINNEAPOLIS, MN
Past
June 8, 2012 - February 28, 2013
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
LITTLE ROCK, AR
Past
September 30, 2010 - May 9, 2012
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LITTLE ROCK, AR
Past
September 28, 2010 - May 9, 2012
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LITTLE ROCK, AR
Past
May 28, 2010 - September 30, 2010
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
LITTLE ROCK, AR
Past
May 16, 2008 - December 31, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
LITTLE ROCK, AR
Past
May 16, 2008 - December 31, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
LITTLE ROCK, AR
Past
January 2, 2003 - March 14, 2008
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
LITTLE ROCK, AR
Past
January 22, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
January 22, 2001 - March 14, 2008
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
LITTLE ROCK, AR
Past
August 27, 1996 - January 27, 1999
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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".
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
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.RR
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
RR
Arkansas(11/8/2024)
IAR
Arkansas(11/12/2024)
RR
Kansas(6/13/2025)
IAR
Kansas(6/13/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/16/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
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
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.
