GS
Gregory Sanfacon
VALIC FINANCIAL ADVISORS
ELGIN, TX
Some features on this profile are disabled
CRD#: 2977909
GS
Professional summary
Gregory Sanfacon, who also goes by Gregory Ward Sanfacon, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Elgin, Texas.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Gregory has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gregory Ward Sanfacon
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 UBER POSITION: DRIVER NATURE: DRIVING FOR UBER AROUND HOUSTON AIRPORTS ON NON WORK HOURS ON THE WEEKEND INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 03/22/2024 ADDRESS: 1455 MARKET STREET, SAN FRANCISCO CA 94103, United States DESCRIPTION: DRIVER
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Sanfacon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gregory Sanfacon'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
May 31, 2017 - Present
VALIC FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 42803
ELGIN, TX
Current
April 14, 2017 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2919 Allen Parkway 9th Floor - Retirement Education Center, Houston, TX 77019RIA
BD
CRD#: 42803
Houston, TX
Past
November 11, 2009 - December 31, 2011
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
BOSTON, MA
Past
August 13, 2004 - March 5, 2009
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
BOSTON, MA
Past
March 3, 2004 - August 31, 2004
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
March 26, 2003 - August 8, 2003
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
February 26, 2001 - August 9, 2002
AMUNDI DISTRIBUTOR US, INC.
BD
CRD#: 24497
BOSTON, MA
Past
February 3, 1998 - July 28, 1998
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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
Alabama(5/18/2022)
IAR
Alabama(5/18/2022)
RR
Alaska(5/8/2017)
IAR
Alaska(12/19/2022)
RR
Arizona(5/5/2017)
IAR
Arizona(5/1/2018)
RR
Arkansas(4/29/2020)
IAR
Arkansas(2/1/2022)
RR
California(5/8/2017)
IAR
California(1/26/2022)
RR
Colorado(5/5/2017)
IAR
Colorado(4/26/2018)
RR
Connecticut(11/7/2024)
IAR
Connecticut(11/8/2024)
RR
Delaware(11/7/2024)
IAR
Delaware(11/14/2024)
RR
District of Columbia(11/7/2024)
RR
Florida(3/16/2022)
IAR
Florida(3/17/2022)
RR
Georgia(11/7/2024)
IAR
Georgia(11/8/2024)
RR
Hawaii(11/7/2024)
IAR
Hawaii(11/8/2024)
RR
Idaho(10/20/2023)
IAR
Idaho(10/20/2023)
RR
Illinois(11/20/2019)
IAR
Illinois(12/10/2019)
RR
Indiana(11/20/2019)
IAR
Indiana(11/21/2019)
RR
Iowa(3/1/2019)
IAR
Iowa(1/24/2022)
RR
Kansas(3/1/2019)
IAR
Kansas(2/1/2022)
RR
Kentucky(4/24/2024)
IAR
Kentucky(5/3/2024)
RR
Louisiana(11/7/2024)
IAR
Louisiana(11/19/2024)
RR
Maine(11/7/2024)
IAR
Maine(11/8/2024)
RR
Maryland(11/7/2024)
IAR
Maryland(11/12/2024)
RR
Massachusetts(11/7/2024)
IAR
Massachusetts(12/2/2024)
RR
Michigan(11/20/2019)
IAR
Michigan(11/22/2019)
RR
Minnesota(11/20/2019)
IAR
Minnesota(11/21/2019)
RR
Mississippi(11/7/2024)
IAR
Mississippi(11/8/2024)
RR
Missouri(3/1/2019)
IAR
Missouri(2/1/2022)
RR
Montana(11/7/2024)
IAR
Montana(11/12/2024)
RR
Nebraska(3/20/2019)
IAR
Nebraska(11/12/2024)
RR
Nevada(5/5/2017)
IAR
Nevada(5/2/2018)
RR
New Hampshire(11/7/2024)
IAR
New Hampshire(11/8/2024)
RR
New Jersey(11/7/2024)
IAR
New Jersey(11/8/2024)
RR
New Mexico(5/5/2017)
IAR
New Mexico(4/30/2018)
RR
New York(11/7/2024)
IAR
New York(11/12/2024)
RR
North Carolina(11/7/2024)
IAR
North Carolina(11/8/2024)
RR
North Dakota(11/20/2019)
IAR
North Dakota(11/25/2019)
RR
Ohio(11/20/2019)
IAR
Ohio(11/20/2019)
RR
Oklahoma(11/7/2024)
IAR
Oklahoma(11/12/2024)
RR
Oregon(5/8/2017)
IAR
Oregon(11/13/2024)
RR
Pennsylvania(11/7/2024)
IAR
Pennsylvania(11/8/2024)
RR
Rhode Island(11/7/2024)
IAR
Rhode Island(11/12/2024)
RR
South Carolina(11/7/2024)
IAR
South Carolina(11/8/2024)
RR
South Dakota(11/7/2024)
IAR
South Dakota(11/8/2024)
RR
Tennessee(11/7/2024)
RR
Texas(4/27/2017)
IAR
Texas(5/31/2017)
RR
Utah(5/5/2017)
IAR
Utah(4/27/2018)
RR
Vermont(11/7/2024)
IAR
Vermont(11/8/2024)
IAR
Virginia(11/8/2024)
RR
Washington(5/8/2017)
IAR
Washington(10/28/2022)
RR
West Virginia(11/7/2024)
IAR
West Virginia(11/12/2024)
RR
Wisconsin(11/7/2024)
RR
Wyoming(4/26/2018)
IAR
Wyoming(11/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/13/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
