SF
Steven J. Fraser
VALIC FINANCIAL ADVISORS
Boca Raton, FL 33431
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CRD#: 6851983
SF
Professional summary
Steven James Fraser, who also goes by Steven Fraser, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Boca Raton, Florida.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Steven has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven Fraser
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.
PAPA JOHN'S; NOT INV. RELATED; WEST PALM BEACH,FL; DELIVERY DRIVER; START DATE 10/01/2021; NUMBER OF HOURS PER MONTH 100; NUMBER OF HOURS DURING TRADING 0; DELIVERING FOOD TO CUSTOMERS. 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
CRS (Client Relationship Summary) - RIA
Click below to view Steven James Fraser's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven James Fraser'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
September 7, 2022 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 1800 North Military Trail Suite 340, Boca Raton, FL 33431RIA
BD
CRD#: 42803
Boca Raton, FL
Current
September 6, 2022 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 1800 North Military Trail Suite 340, Boca Raton, FL 33431RIA
BD
CRD#: 42803
Boca Raton, FL
Past
February 9, 2022 - September 7, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BOYNTON BEACH, FL
Past
January 12, 2022 - September 7, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BOYNTON BEACH, FL
Past
November 20, 2020 - January 7, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
PALM BCH GDNS, FL
Past
September 1, 2020 - October 28, 2020
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
BOCA RATON, FL
Past
October 31, 2017 - September 15, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PALM BEACH GARDENS, FL
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(1/21/2025)
IAR
Alabama(1/23/2025)
RR
California(9/6/2022)
RR
Florida(9/6/2022)
IAR
Florida(9/7/2022)
RR
Georgia(10/15/2024)
IAR
Georgia(10/16/2024)
RR
Maryland(8/22/2025)
IAR
Maryland(8/24/2025)
RR
North Carolina(10/11/2024)
IAR
North Carolina(10/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/12/2022
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)
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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.
Company Information
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803Boca Raton, FL 33431TRUST BUT VERIFY
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