CA
Cassandra S. Anderson
VALIC FINANCIAL ADVISORS
Lakewood, CO 80228
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CRD#: 2043859
CA
Professional summary
Cassandra Shawn Anderson, CFA, CFP®, who also goes by Cassandra Shawn Van Horn, Cassandra Shawn Vanhorn, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Lakewood, Colorado.
Cassandra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Cassandra has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 62 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cassandra Shawn Van Horn | Cassandra Shawn Vanhorn
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
AGIA POSITION: Agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/17/2022 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Non-Securities Insurance Products
CRS (Client Relationship Summary) - RIA
Click below to view Cassandra Shawn Anderson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cassandra Shawn Anderson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2001
Experience
Current
August 3, 2012 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 165 South Union Boulevard Suite 600, Lakewood, CO 80228RIA
BD
CRD#: 42803
Lakewood, CO
Current
August 3, 2012 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 165 South Union Boulevard Suite 600, Lakewood, CO 80228RIA
BD
CRD#: 42803
Lakewood, CO
Past
April 29, 2011 - December 22, 2011
SENSIBA SAN FILIPPO FINANCIAL ADVISERS LLC
RIA
CRD#: 129412
SAN MATEO, CA
Past
October 7, 2010 - March 11, 2011
GAR WOOD SECURITIES, LLC
BD
CRD#: 138033
NAPERVILLE, IL
Past
July 16, 2007 - September 8, 2008
THE STRATEGIC FINANCIAL ALLIANCE, INC.
BD
CRD#: 126514
CORTE MADERA, CA
Past
July 2, 2007 - September 8, 2008
THE STRATEGIC FINANCIAL ALLIANCE, INC.
RIA
CRD#: 126514
CORTE MADERA, CA
Past
May 21, 2004 - July 19, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
SAN FRANCISCO, CA
Past
May 21, 2004 - July 19, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
June 23, 2003 - May 25, 2004
IFMG SECURITIES, INC.
RIA
CRD#: 14416
LARKSPUR, CA
Past
June 23, 2003 - May 25, 2004
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
December 4, 2001 - July 19, 2002
CAL FED INVESTMENTS
BD
CRD#: 19631
SACRAMENTO, CA
Past
July 29, 1998 - December 10, 1998
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
March 20, 1998 - July 23, 1998
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
September 1, 1994 - February 19, 1998
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
April 11, 1990 - August 16, 1990
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
DENVER, CO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/3/2012)
IAR
California(8/3/2012)
RR
Colorado(6/10/2024)
IAR
Colorado(6/10/2024)
RR
Idaho(6/12/2019)
IAR
Idaho(6/12/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 4/5/1990
Corporate Securities Limited Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2919 Allen Parkway L3-20, Houston, TX 77019
Mailing Address
2919 Allen Parkway L3-20, Houston, TX 77019-2158
Phone number
(866) 544-4968
Established
Texas since 11/18/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,633
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.
