DS
Doris G. Silva
VALIC FINANCIAL ADVISORS
ADDISON, TX 75001
Some features on this profile are disabled
CRD#: 3046633
DS
Professional summary
Doris Gasca Silva, who also goes by Doris Jean Gasca, Doris Jean Silva, Doris Silva, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Addison, Texas.
Doris is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Doris has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doris Jean Gasca | Doris Jean Silva | Doris Silva
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Doris Gasca Silva's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Doris Gasca Silva'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®
NoneExperience
Current
March 25, 2019 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 15305 Dallas Parkway 12th Floor, Addison, TX 75001RIA
BD
CRD#: 42803
ADDISON, TX
Current
March 25, 2019 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 15305 Dallas Parkway 12th Floor, Addison, TX 75001RIA
BD
CRD#: 42803
ADDISON, TX
Past
September 13, 2016 - March 25, 2019
WESTERN WEALTH MANAGEMENT LLC
RIA
CRD#: 283545
Fort Worth, TX
Past
September 13, 2016 - April 16, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT WORTH, TX
Past
August 24, 2012 - September 16, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WESTWORTH VILLAGE, TX
Past
August 24, 2012 - September 16, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WESTWORTH VILLAGE, TX
Past
August 22, 2011 - August 27, 2012
PNC MANAGED ACCOUNT SOLUTIONS, INC.
RIA
CRD#: 110476
GRANBURY, TX
Past
July 8, 2005 - July 15, 2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC
RIA
CRD#: 17086
GRANBURY, TX
Past
July 8, 2005 - August 27, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
GRANBURY, TX
Past
April 19, 2004 - July 1, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
FT. WORTH , TX
Past
April 13, 2004 - July 1, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
October 8, 2003 - April 1, 2004
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
BIRMINGHAM, AL
Past
May 21, 1998 - October 2, 2003
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
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
Arizona(7/12/2021)
IAR
Arizona(7/28/2021)
RR
Colorado(9/23/2021)
IAR
Colorado(9/24/2021)
RR
Florida(11/23/2021)
IAR
Florida(11/24/2021)
RR
Georgia(9/9/2024)
IAR
Georgia(9/11/2024)
RR
Louisiana(5/16/2024)
IAR
Louisiana(5/23/2024)
RR
Missouri(8/1/2022)
IAR
Missouri(8/3/2022)
RR
Oklahoma(8/1/2022)
IAR
Oklahoma(8/2/2022)
RR
Texas(3/25/2019)
IAR
Texas(3/25/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO 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.
