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Detailed Report
TODD MICHAEL GUTMAN
CRD#: 2938356
IA
Investment Adviser
B
Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 4300 WEST CYPRESS STREET
SUITE 1000
TAMPA, FL 33607
Registration History
199820002002200420062008201020122014201620182020202220242026IAVALIC FINANCIAL ADVISORS, INC. (CRD# 42803)2005 - Present (20 years)BVALIC FINANCIAL ADVISORS, INC. (CRD# 42803)1998 - Present (26 years)BAIG CAPITAL SERVICES, INC. (CRD# 13158)2014 - 2017 (3 years)BTHE VARIABLE ANNUITY MARKETING... (CRD# 5081)2000 - 2001 (1 year)BPUBLIC EMPLOYEES EQUITIES SERV... (CRD# 7315)1998 - 2000 (1 year)BINVESTACORP, INC. (CRD# 7684)1997 - 1998 (<1 year)
License(s)

State Registrations

B
Arizona 5/3/2024
B
New York 6/28/2017
IA
Arizona 5/22/2024
IA
New York 8/16/2021
B
Arkansas 6/28/2017
B
North Carolina 9/22/2021
IA
Arkansas 12/10/2018
IA
North Carolina 4/26/2022
B
California 3/30/2020
B
Pennsylvania 4/26/2022
IA
California 8/5/2020
B
Texas 7/21/2015
IA
Florida 1/10/2005
IA
Texas 6/26/2020
B
Florida 6/15/2015
B
Virginia 11/15/2024
B
Georgia 6/28/2017
IA
Virginia 11/19/2024
IA
Georgia 9/24/2021
B
Washington 1/17/2023
B
Kentucky 6/28/2017
IA
Washington 1/17/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
4300 WEST CYPRESS STREET SUITE 1000, TAMPA, FL 33607
Registered with this firm since 1/10/2005
B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
4300 WEST CYPRESS STREET SUITE 1000, TAMPA, FL 33607
Registered with this firm since 11/23/1998
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 02/10/2014 - 05/22/2017 AIG CAPITAL SERVICES, INC. (CRD#:13158) JERSEY CITY, NJ
B
 08/08/2000 - 12/31/2001 THE VARIABLE ANNUITY MARKETING COMPANY (CRD#:5081) HOUSTON, TX
B
 10/06/1998 - 03/08/2000 PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY (CRD#:7315) PALM BEACH GARDENS, FL
B
 09/12/1997 - 07/20/1998 INVESTACORP, INC. (CRD#:7684) MIAMI, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.