Cassandra Sparks

GALLAGHER FIDUCIARY ADVISORS

Berwyn, PA 19312

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CRD#: 5740907

Professional summary

Cassandra Sparks, who also goes by Cassandra J Rosenfeld, Cassandra Rosenfeld, is a registered financial advisor currently at GALLAGHER FIDUCIARY ADVISORS, LLC located in Berwyn, Pennsylvania and OSAIC WEALTH, INC. located in Rolling Meadows, Illinois.

Cassandra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Cassandra has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cassandra J Rosenfeld | Cassandra Rosenfeld

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.

InFre: International Foundation for Retirement Education. Non-investment related. Accreditation for the CRC designation: Certified Retirement Counselor. P.O. Box 524, Barrington, IL 60011. Board Member on the CRC� Board of Standards and Policy Development Board. Term 04/01/2025-03/31/2031. Less than 1HR/MO; 0HR/MO during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cassandra Sparks's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 7, 2025 - Present

GALLAGHER FIDUCIARY ADVISORS, LLC

Office #1: 1205 Westlakes Drive, Suite 290, Berwyn, PA 19312

RIA

CRD#: 146509

Berwyn, PA

Current

September 4, 2025 - Present

OSAIC WEALTH, INC.

Office #1: 2850 Golf Road, Rolling Meadows, IL 60008Office #2: 1205 Westlakes Drive Suite 290, Berwyn, PA 19312

RIA

CRD#: 23131

Rolling Meadows, IL

Past

December 10, 2013 - July 29, 2025

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

BARTLETT, IL

Past

December 5, 2012 - July 29, 2025

MISSIONSQUARE INVESTMENT SERVICES

CRD#: 23189

WASHINGTON, DC

Past

August 25, 2010 - November 20, 2012

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

CHICAGO, IL

Past

January 6, 2010 - August 6, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

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".

GALLAGHER FIDUCIARY ADVISORS, LLC

CRD#: 146509 / SEC#: 801-68868

RIA

Registered Investment Advisory firm - (3/17/2008 Approved)

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.

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

IAR

Illinois
(8/7/2025)

Illinois
(9/4/2025)

IAR

Pennsylvania
(8/8/2025)

Pennsylvania
(9/4/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/17/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/13/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/23/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/5/2010

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

GALLAGHER FIDUCIARY ADVISORS, LLC

CRD#: 146509 / SEC#: 801-68868

RIA

Registered Investment Advisory firm - (3/17/2008 Approved)

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Contact information

Main Address

2850 Golf Road, Rolling Meadows, IL 60008

Mailing Address

Phone number

(212) 330-1011

Established

Firm type

Fiscal year end

# of Employees

221

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FOR GALLAGHER FIDUCIARY ADVISORS, LLC FOR RETAIL CLIENTS (4/22/2025)

FORM ADV PART 2A FOR GALLAGHER FIDUCIARY ADVISORS, LLC FOR INSTITUTIONAL CLIENTS (4/22/2025)

Regulatory assets under management

Total Number of Accounts	5,754
AUM (Assets Under Management)	$ 180,614,282,519

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.

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Advisor Monitoring

Firm Stability Insights

Cassandra Sparks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cassandra Sparks's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

MISSIONSQUARE RETIREMENT

MISSIONSQUARE INVESTMENT SERVICES

PNC WEALTH MANAGEMENT LLC

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

GALLAGHER FIDUCIARY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/17/2013

Series 63

Date: 1/13/2010

Series 7TO

Date: 6/23/2022

SIE

Date: 10/1/2018

Series 6

Date: 1/5/2010

FINRA

Current Firm

GALLAGHER FIDUCIARY ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GALLAGHER FIDUCIARY ADVISORS, LLC

TRUST BUT VERIFY

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