Individual Firm
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JEFFREY MICHAEL BAUER
CRD#: 4278903
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VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 165 SOUTH UNION BOULEVARD
SUITE 600
LAKEWOOD, CO 80228
SUITE 600
LAKEWOOD, CO 80228
0
Disclosures
24
Years of Experience
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State Registrations
B
Alaska 4/21/2021
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Nebraska 4/23/2012
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Alaska 4/30/2021
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New Mexico 5/18/2020
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Arizona 2/17/2015
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New Mexico 5/19/2020
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Arizona 3/14/2016
B
North Carolina 8/2/2021
B
California 5/21/2004
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North Carolina 8/3/2021
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California 9/20/2019
B
Oregon 4/8/2015
B
Colorado 1/30/2001
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Texas 4/8/2016
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Colorado 8/15/2002
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Texas 4/20/2016
B
Florida 8/2/2021
B
Washington 5/9/2022
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Florida 8/3/2021
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Washington 5/9/2022
B
Iowa 7/31/2012
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Wyoming 8/16/2012
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Iowa 11/9/2012
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Wyoming 10/17/2019
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Nebraska 4/18/2012
SRO Registrations
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Registered with this firm since 8/15/2002
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Registered with this firm since 1/30/2001
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/30/2001 - 12/31/2001 | HOUSTON, TX | |
B | 10/19/2000 - 01/31/2001 | NEWARK, NJ |
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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.
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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.