Travis J. Schaffer

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CRD#: 4156552

Professional summary

Travis John Schaffer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Travis is a previously registered financial advisor and started their career in finance in 2004. Prior to being barred, Travis had worked at 4 firms, which includes VALIC FINANCIAL ADVISORS INC., UVEST FINANCIAL SERVICES GROUP INC., BANC ONE SECURITIES CORPORATION, PARK AVENUE SECURITIES LLC.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 22, 2008 - November 2, 2011

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

CHICAGO, IL

Past

May 19, 2008 - November 2, 2011

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

CHICAGO, IL

Past

May 8, 2008 - May 9, 2008

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

CHICAGO, IL

Past

January 14, 2005 - April 24, 2008

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

DES PLAINES, IL

Past

January 14, 2005 - April 24, 2008

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

DES PLAINES, IL

Past

May 18, 2004 - December 3, 2004

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

SKOKIE, IL

Past

May 18, 2004 - December 3, 2004

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

February 10, 2004 - May 10, 2004

PARK AVENUE SECURITIES LLC

CRD#: 46173

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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/17/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/9/2004

General Securities Representative Examination

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

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Travis J. Schaffer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

PARK AVENUE SECURITIES LLC

Primary Firm SEC Registration

VALIC FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/17/2004

Series 7

Date: 2/9/2004

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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