CS
Cary S. Sheppard
VALIC FINANCIAL ADVISORS
Atlanta, GA 30339
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CRD#: 3249671
CS
Professional summary
Cary Scott Sheppard is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Atlanta, Georgia.
Cary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Cary has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
RENTAL PROPERTY IN FLORIDA POSITION: Owner NATURE: My wife and I purchased this property with money she received from an inheritance with her grandmother died. We rentit out to offset expenses for the loan we have on the balance, and also to pay the HOA fees. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/24/2020 ADDRESS: 16819 Front Beach Road, Unti 2404, Panama City Beach FL 32413, United States DESCRIPTION: I pay the bills due on the property from the rental income received. I probably spend on average 15 minutes a week on this property throughout the year. 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 RENTAL PROPERTIES POSITION: Owner NATURE: We recently purchased this condo in PCB, and will renting it out through VRBO.com starting January 2024 My wife handles the rental part through VRBO, and send out all codes, welcome letter, ETC to guests. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 15625 Front Beach Road #1901, Panama City Beach FL 32413, United States DESCRIPTION: My wife and I share ownership in this property. RENTAL PROPERTIES POSITION: Owner NATURE: We recently purchased this condo in PCB, and will renting it out through VRBO.com starting January 2024 My wife handles the rental part through VRBO, and send out all codes, welcome letter, ETC to guests. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 15625 Front Beach Road #1202, Panama City Beach FL 32413, United States DESCRIPTION: Owner SALEM, AL RENTAL POSITION: Owner NATURE: This is a lakehouse that my family uses, and will rent out 10-12 weeks a year to pay for the taxes, insurance, and maintenance. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2024 ADDRESS: 603 Lee Road 346, Salem AL 36874, United States DESCRIPTION: My wife handles most of the online rental, but I do help occasionally with creating codes, or paying bills.
CRS (Client Relationship Summary) - RIA
Click below to view Cary Scott Sheppard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cary Scott Sheppard'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
February 19, 2001 - 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
July 12, 1999 - 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
July 12, 1999 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
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
Alabama(8/17/1999)
IAR
Alabama(2/19/2001)
RR
Florida(3/26/2013)
IAR
Florida(3/27/2013)
RR
Georgia(8/17/1999)
IAR
Georgia(2/6/2003)
RR
Maryland(9/20/2021)
IAR
Maryland(9/21/2021)
RR
Mississippi(7/30/2024)
IAR
Mississippi(8/1/2024)
RR
New Mexico(12/6/2022)
IAR
New Mexico(12/8/2022)
RR
Ohio(5/8/2024)
IAR
Ohio(5/8/2024)
RR
South Carolina(8/14/2024)
IAR
South Carolina(8/19/2024)
RR
Virginia(9/3/2013)
IAR
Virginia(1/6/2022)
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.
