DC
Daniel G. Caldwell
VALIC FINANCIAL ADVISORS
Atlanta, GA 30339
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CRD#: 3203532
DC
Professional summary
Daniel Glenn Caldwell, who also goes by Danny Caldwell, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Atlanta, Georgia.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Daniel has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Danny Caldwell
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.
Harbor Ministries,Inc. non-investment related. 35 West Tennessee Ave, McCaysville, GA 30555.President with duties which include authorized signer on checking account and have authority to transact after the church's approval. Commenced activity 11/20/1996. 0% of hours/month is devoted during securities trading hours. Notary. 291 Plantation Center Dr. North Apt 907, Macon, GA 31210.Use the notary for helping people to get a signature notarized with no fee. Non-investment related. The date this activity commenced was on 9/1/2016. 0% of hours/month is devoted to this activity during securities trading hours. 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 Daniel Glenn Caldwell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Glenn Caldwell'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
June 22, 2016 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2300 Windy Ridge Parkway S.e. Suite 240 S, Atlanta, GA 30339RIA
BD
CRD#: 42803
Atlanta, GA
Current
January 18, 2016 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2300 Windy Ridge Parkway S.e. Suite 240 S, Atlanta, GA 30339RIA
BD
CRD#: 42803
Atlanta, GA
Past
September 12, 2007 - November 19, 2007
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
ATLANTA, GA
Past
September 12, 2007 - November 19, 2007
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
ATLANTA, GA
Past
March 28, 2003 - June 28, 2007
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
ATLANTA, GA
Past
April 15, 1999 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
April 15, 1999 - June 28, 2007
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
ATLANTA, GA
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
Georgia(2/18/2016)
IAR
Georgia(6/22/2016)
RR
North Carolina(7/20/2017)
IAR
North Carolina(7/20/2017)
RR
Tennessee(7/20/2017)
Exams
State Security Law Exam
State Security Law 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.
