Michael P. Dubick
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Paul Dubick was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1970. Michael had worked at 8 firms and has passed the Series 66, Series 63, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2004 - January 3, 2013
VALIC FINANCIAL ADVISORS, INC.
November 6, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
November 6, 2001 - January 3, 2013
VALIC FINANCIAL ADVISORS, INC.
June 6, 2000 - September 13, 2000
BAXTER FINANCIAL CORPORATION
October 2, 1984 - June 30, 1998
MORGAN STANLEY DW INC.
February 7, 1974 - April 5, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 2, 1973 - March 22, 1974
DUPONT WALSTON, INCORPORATED
April 17, 1971 - September 18, 1984
CITIGROUP GLOBAL MARKETS INC.
December 28, 1970 - July 2, 1973
DUPONT GLORE FORGAN INCORPORATED
Primary Firm SEC Registration
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 5/23/1977
AMEX Put and Call ExamSeries 000
Date: 4/17/1971
General Securities Principal ExaminationSeries 1
Date: 9/12/1968
Registered Representative ExaminationCurrent Firm
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
Contact information
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.
