HM
Heather D. Mazander
VALIC FINANCIAL ADVISORS
LITTLE ROCK, AR
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CRD#: 4993971
HM
Professional summary
Heather Dawn Mazander, who also goes by Heather Mazander, Heather Dawn Vogt, Heather Vogt, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Little Rock, Arkansas.
Heather is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Heather has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Heather Mazander | Heather Dawn Vogt | Heather Vogt
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 Heather Dawn Mazander's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Heather Dawn Mazander'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
September 23, 2019 - Present
VALIC FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 42803
LITTLE ROCK, AR
Current
September 23, 2019 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 7591 Fern Ave. Suite 1402, Shreveport, LA 71105RIA
BD
CRD#: 42803
SHREVEPORT, LA
Past
February 20, 2018 - August 9, 2019
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
LITTLE ROCK, AR
Past
February 20, 2018 - August 9, 2019
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
LITTLE ROCK, AR
Past
June 1, 2009 - February 20, 2018
MORGAN STANLEY
RIA
CRD#: 149777
LITTLE ROCK, AR
Past
June 1, 2009 - February 20, 2018
MORGAN STANLEY
BD
CRD#: 149777
LITTLE ROCK, AR
Past
March 25, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
LITTLE ROCK, AR
Past
March 25, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
LITTLE ROCK, AR
Past
May 17, 2006 - March 3, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LITTLE ROCK, AR
Past
May 16, 2006 - March 3, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LITTLE ROCK, AR
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
Arkansas(9/23/2019)
IAR
Arkansas(9/23/2019)
RR
California(8/31/2020)
IAR
California(8/31/2020)
RR
Louisiana(8/6/2021)
IAR
Louisiana(8/9/2021)
RR
Missouri(9/23/2019)
IAR
Missouri(9/25/2019)
RR
Texas(4/1/2020)
IAR
Texas(4/1/2020)
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)
PREMIUM
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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.
