LH
Loretta A. Harris
Some features on this profile are disabled
CRD#: 1934099
LH
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Loretta Ann Harris, who also goes by Lory A Harris, Lory Harris, Loretta A Harris, was a registered financial professional .
Loretta is a previously registered financial professional and started their career in finance in 2009. Loretta had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lory A Harris | Lory Harris | Loretta A Harris
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.
1. 05/18/2015 - ONPATH FINANCIAL LLC - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - At Reported Business Location(s) - admin
2. 05/18/2015 - CBIII DESIGN INC. - BUSINESS OWNER - INV REL - At Reported Business Location(s) - Start 01/01/2002 - VICE PRESIDENT, DESIGN RESIDENTIAL HOUSING, BLUEPRINTS - 40% Time Spent
3. 05/18/2015 - HIGHPOINT ADVISOR GROUP - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - At Reported Business Location(s) - admin
4. 07/18/2016 - No Business Name - Author - NOT INV REL - 2035 Forest Ridge Rd., St. Charles, IL 60174 - Start 08/01/2016 - Author of a family history memoir. No employees and does not share office space with securities business. - 25 Hr/Mo; 12 Hours During Securities Trading
5. 6/8/2017 - OnPath Financial LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/02/2014 - 110 Hours Per Month During Securities Trading.
6) 08/22/2017 -Highpoint Advisor Group, LLC-investment related- At reported business location(s)-Registered Investment Advisor Hybrid-start 03/03/2014-Hours per month 110/ hours during trading 110-I provide investment advisory services through Highpoint Advisor Group, LLC, an independent investment advisor firm. I started this business activity in August 2017. I expect to spend approximately 110 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
7) 09/06/2017-Highpoint Advisor Group, LLC-Investement related-At reported business location(s)-Registered Investment Advisor Hybrid-IAR-start 03/03/2014-Hours per month 110/hours during trading 110-I provide investment advisory services through Highpoint Advisor Group, LLC, an independent investment advisor firm. I started this business activity in September 2017. I expect to spend approximately 110 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
December 8, 2021 - December 31, 2024
HIGHPOINT PLANNING PARTNERS
RIA
CRD#: 316636
ST. CHARLES, IL
Past
August 21, 2017 - December 31, 2021
HIGHPOINT PLANNING PARTNERS
RIA
CRD#: 163768
St. Charles, IL
Past
June 25, 2015 - November 6, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
ST. CHARLES, IL
Past
June 22, 2015 - January 9, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
ST. CHARLES, IL
Past
April 20, 2009 - March 31, 2014
WORLD EQUITY GROUP, INC.
BD
CRD#: 29087
GENEVA, 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".
HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP | KELLER PETERSON WEALTH ADVISORS, LLC | KEITH E. MURPHY | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC
CRD#: 316636 / SEC#: 801-122583
RIA
Registered Investment Advisory firm - (10/29/2021 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP | KELLER PETERSON WEALTH ADVISORS, LLC | KEITH E. MURPHY | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC
CRD#: 316636 / SEC#: 801-122583
RIA
Registered Investment Advisory firm - (10/29/2021 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
2651 Warrenville Road Suite 200, Downers Grove, IL 60515
Mailing Address
Phone number
(630) 719-9222
Established
Firm type
Fiscal year end
# of Employees
104
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,813 |
| AUM (Assets Under Management) | $ 3,999,000,000 |
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.
