ST
Shazeen A. Taiyabi
VALIC FINANCIAL ADVISORS
Houston, TX 77019
Some features on this profile are disabled
CRD#: 4969826
ST
Professional summary
Shazeen Amir Taiyabi, who also goes by Shazeen Nooruddin Moochhala, Shazeen Taiyabi, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Houston, Texas.
Shazeen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Shazeen has worked at 2 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shazeen Nooruddin Moochhala | Shazeen Taiyabi
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" for CXA NATURE: Non-Securities Insurance Products INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2022 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Appointed as agent to sell Non-Securities Insurance products for AGIA
CRS (Client Relationship Summary) - RIA
Click below to view Shazeen Amir Taiyabi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shazeen Amir Taiyabi'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
October 28, 2022 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2919 Allen Parkway 9th Floor - Retirement Education Center, Houston, TX 77019RIA
BD
CRD#: 42803
Houston, TX
Current
September 20, 2022 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2919 Allen Parkway 9th Floor - Retirement Education Center, Houston, TX 77019RIA
BD
CRD#: 42803
Houston, TX
Past
January 31, 2006 - September 6, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
HOUSTON, TX
Past
July 20, 2005 - September 6, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
HOUSTON, TX
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(6/16/2023)
IAR
Alabama(6/16/2023)
RR
Connecticut(12/16/2022)
IAR
Connecticut(12/16/2022)
RR
Delaware(12/16/2022)
IAR
Delaware(12/16/2022)
RR
District of Columbia(12/16/2022)
IAR
District of Columbia(2/17/2023)
RR
Florida(5/24/2023)
IAR
Florida(5/25/2023)
RR
Georgia(6/16/2023)
IAR
Georgia(6/20/2023)
RR
Maine(12/16/2022)
IAR
Maine(12/16/2022)
RR
Maryland(12/16/2022)
IAR
Maryland(12/16/2022)
RR
Massachusetts(12/16/2022)
IAR
Massachusetts(1/3/2023)
RR
New Hampshire(12/16/2022)
IAR
New Hampshire(12/16/2022)
RR
New Jersey(12/16/2022)
IAR
New Jersey(12/16/2022)
RR
New York(12/16/2022)
IAR
New York(12/16/2022)
RR
North Carolina(6/16/2023)
IAR
North Carolina(6/16/2023)
RR
Pennsylvania(12/16/2022)
IAR
Pennsylvania(12/16/2022)
RR
Rhode Island(12/16/2022)
IAR
Rhode Island(12/16/2022)
RR
South Carolina(6/16/2023)
IAR
South Carolina(6/16/2023)
RR
Tennessee(6/16/2023)
RR
Texas(10/28/2022)
IAR
Texas(10/28/2022)
RR
Vermont(4/26/2023)
IAR
Vermont(4/26/2023)
RR
Virginia(12/16/2022)
IAR
Virginia(12/16/2022)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/19/2022
General Securities Representative ExaminationGeneral 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)
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 |
| COTTON-HEARNE, JULIE ANN | SECRETARY | 6265849 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
| TERWILLIGER, JOEL LESLIE | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 4856510 |
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.
