Carolyn K. Windham
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.
Carolyn Kay Windham was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1983. Carolyn had worked at 4 firms and has passed the SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
October 17, 2000 - April 5, 2018
VALIC FINANCIAL ADVISORS, INC.
January 14, 1988 - September 22, 2000
AMERICAN GENERAL SECURITIES INCORPORATED
September 12, 1983 - December 16, 1986
SECURITIES MANAGEMENT & RESEARCH, INC.
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
Current Firm
THE VARIABLE ANNUITY MARKETING COMPANY
CRD#: 5081 / SEC#: , 8-15688
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VARIABLE ANNUITY LIFE INSURANCE COMPANY | SHAREHOLDER | |
| BAUM, EDWARD JEROME | VICE PRESIDENT | 843044 |
| BOERO, EDWARD KENNETH | VICE PRESIDENT | 706621 |
| BOERO, STEVEN PAUL | SENIOR VICE PRESIDENT | 862282 |
| CAVANAUGH, MARY LOUISE | DIRECTOR AND SECRETARY | 4186841 |
| COBBS, JENNIFER DIEHL | EXECUTIVE VICE PRESIDENT - MARKETING | 1411507 |
| COHEN, DENNIS KARL | ASSISTANT TAX OFFICER | 4403024 |
| COHN, PAULETTA PALASOTA | ASSISTANT SECRETARY | 1371471 |
| CONDON, ROBERT PAUL SR | DIRECTOR. CHAIRMAN, CEO, & PRESIDENT | 51915 |
| CONNELL, JOE HENRY | VICE PRESIDENT | 1278586 |
| DENBOER, DAVID HENDRICK | DIRECTOR, SR VP & CHIEF COMPLIANCE OFFICER | 1348962 |
| FESTERVAND, TERRY BOX | ASST TREASURER | 3192519 |
| GALERSTON, ROBYN F | ASST VICE PRESIDENT - SALES LITERATURE REVIEW | 2388436 |
| JONES, LAUREN WOOD | ASSISTANT SECRETARY | 4394921 |
| JORGENSEN, JAY WILLIAM | VICE PRESIDENT | 1624184 |
| LANGE, THOMAS NORMAN | SENIOR VICE PRESIDENT | 301985 |
| LINDSAY, RICHARD JEFFERIS | VICE PRESIDENT- MARKETING ADMINISTRATION | 4035861 |
| LYLE, DAVID RIDEN | VICE PRESIDENT | 829962 |
| MACTAVISH, JOHN RODERICK | VICE PRESIDENT | 851957 |
| OSBORNE, JOE CURTIS | VICE PRESIDENT | 353743 |
| POCH, KEITH ALAN | VICE PRESIDENT | 1537840 |
| ROBERTS, FRED LEE | VICE PRESIDENT | 1032000 |
| ROCK, TARA SUE | ASST TREASURER | 3192520 |
| SANCHIES, RONALD GEORGE | VICE PRESIDENT | 1035349 |
| SNYDER, PAULA KAY | VICE PRESIDENT - MARKETING COMMUNICATIONS | 4090940 |
| VANPUTTEN, DONALD RAY | VICE PRESIDENT | 453283 |
| VERBERKMOES, KRIEN III | VP SALES PRACTICES, TREASURER & CHIEF FINANCIAL OPS OFFICER | 868915 |
| ZUCCHI, DONNA MARIE | VICE PRESIDENT | 1649183 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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