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STEPHEN MATTHEW HUGHES
CRD#: 2098910
IA
B
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 2777 ALLEN PARKWAY
RP-01
HOUSTON, TX 77019
RP-01
HOUSTON, TX 77019
0
Disclosures
33
Years of Experience
View By:
State Registrations
B
Alabama 5/31/2022
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Missouri 6/1/2022
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Alabama 6/1/2022
B
Montana 6/1/2022
B
Alaska 5/31/2022
IA
Montana 6/1/2022
IA
Alaska 6/2/2022
B
Nebraska 5/31/2022
B
Arizona 5/31/2022
IA
Nebraska 6/1/2022
IA
Arizona 6/9/2022
B
Nevada 5/31/2022
B
Arkansas 5/31/2022
IA
Nevada 6/16/2022
IA
Arkansas 6/6/2022
B
New Hampshire 5/31/2022
B
California 5/31/2022
IA
New Hampshire 6/3/2022
IA
California 6/1/2022
B
New Jersey 5/31/2022
B
Colorado 5/31/2022
IA
New Jersey 6/7/2022
IA
Colorado 6/1/2022
B
New Mexico 5/31/2022
B
Connecticut 5/31/2022
IA
New Mexico 6/1/2022
IA
Connecticut 6/1/2022
B
New York 5/31/2022
B
Delaware 5/31/2022
IA
New York 6/1/2022
IA
Delaware 6/7/2022
B
North Carolina 5/31/2022
B
District of Columbia 5/31/2022
IA
North Carolina 6/1/2022
B
Florida 5/31/2022
B
North Dakota 5/31/2022
IA
Florida 6/1/2022
IA
North Dakota 6/6/2022
B
Georgia 5/31/2022
B
Ohio 6/1/2022
IA
Georgia 6/1/2022
IA
Ohio 6/1/2022
B
Hawaii 5/31/2022
B
Oklahoma 5/31/2022
IA
Hawaii 6/1/2022
IA
Oklahoma 6/2/2022
B
Idaho 5/31/2022
B
Oregon 5/31/2022
IA
Idaho 6/1/2022
IA
Oregon 6/1/2022
B
Illinois 5/31/2022
B
Pennsylvania 5/31/2022
IA
Illinois 6/6/2022
IA
Pennsylvania 6/1/2022
B
Indiana 5/31/2022
B
Rhode Island 5/31/2022
IA
Indiana 6/1/2022
IA
Rhode Island 6/1/2022
B
Iowa 5/31/2022
B
South Carolina 5/31/2022
IA
Iowa 6/1/2022
IA
South Carolina 6/8/2022
B
Kansas 5/31/2022
B
South Dakota 5/31/2022
IA
Kansas 6/1/2022
IA
South Dakota 6/30/2022
B
Kentucky 5/31/2022
B
Tennessee 5/31/2022
IA
Kentucky 6/1/2022
B
Texas 12/21/2017
B
Louisiana 5/31/2022
IA
Texas 12/22/2017
IA
Louisiana 6/3/2022
B
Utah 5/31/2022
B
Maine 5/31/2022
IA
Utah 6/1/2022
IA
Maine 6/1/2022
B
Vermont 5/31/2022
B
Maryland 5/31/2022
IA
Vermont 6/1/2022
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Maryland 7/25/2022
B
Virginia 5/31/2022
B
Massachusetts 5/31/2022
IA
Virginia 6/1/2022
IA
Massachusetts 5/8/2023
B
Washington 5/31/2022
B
Michigan 5/31/2022
IA
Washington 6/6/2022
IA
Michigan 6/3/2022
B
West Virginia 5/31/2022
B
Minnesota 5/31/2022
IA
West Virginia 6/3/2022
IA
Minnesota 6/1/2022
B
Wisconsin 5/31/2022
B
Mississippi 5/31/2022
IA
Wisconsin 6/1/2022
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Mississippi 6/2/2022
B
Wyoming 5/31/2022
B
Missouri 5/31/2022
IA
Wyoming 6/1/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/29/2000
B
Registered with this firm since 4/5/1999
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/10/2013 - 03/23/2017 | HOUSTON, TX | |
IA | 08/09/2002 - 05/11/2009 | SACRAMENTO, CA | |
B | 01/28/2000 - 12/31/2001 | HOUSTON, TX | |
B | 01/13/1998 - 11/15/2000 | OAK PARK, IL | |
B | 06/20/1996 - 12/03/1997 | ||
B | 01/22/1996 - 06/11/1996 | PORTLAND, OR | |
B | 04/27/1994 - 12/31/1995 | NAPA, CA | |
B | 11/15/1990 - 10/18/1993 | APPLETON, WI |
SACRAMENTO, CA
08/09/2002 - 05/11/2009
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.